Chapter 1 Architects

5-1-1. Declaration of policy.

In order to protect the health, safety, and property of the people of Rhode Island, and to promote their welfare, no person shall practice architecture in this state except in compliance with the requirements of this chapter.

History of Section. P.L. 1977, ch. 232, § 2.

Repealed Sections.

The former chapter (P.L. 1936, ch. 2327, §§ 1 to 28; G.L. 1938, ch. 401, §§ 1 to 28; P.L. 1955, ch. 3524, § 1; G.L. 1956, §§ 5-1-1 to 5-1-29), concerning architects, was repealed by P.L. 1977, ch. 232, § 1, effective January 31, 1978. Section 2 of P.L. 1977, ch. 232 enacted the present provisions of this chapter concerning the same subject.

Cross References.

Division of Building, Design and Fire Professionals, § 5-84-3 .

Landscape architects, § 5-51-1 et seq.

Mechanics’ liens of architects, § 34-28-7 .

Professional engineers’ licensing requirement, exemption, § 5-8-21 .

Professional service corporations, § 7-5.1-1 et seq.

Comparative Legislation.

Architects:

Conn. Gen. Stat. § 20-288 et seq.

Mass. Ann. Laws ch. 112, § 60A et seq.

Collateral References.

Architect’s liability for personal injury or death from improper plans or design. 97 A.L.R.3d 455.

Architectural drawings or illustrations as exempt from sales or use tax. 27 A.L.R.5th 794.

Failure to procure business or occupational license as affecting enforceability of contract or right of recovery for work done. 44 A.L.R.4th 271.

Grant or denial of license to practice architecture. 2 A.L.R.4th 1103.

Liability of architect for improper issuance of certificate. 43 A.L.R.2d 1227.

Recovery back of money paid to unlicensed person required by law to have occupational or business license or permit to make contract. 74 A.L.R.3d 637.

What constitutes professional services within meaning of statute preserving individual liability of professional employees of professional corporation, association, or partnership. 31 A.L.R.4th 898.

What constitutes publication of architectural plans, drawings, or designs, so as to result in loss of common law copyright. 77 A.L.R.2d 1048.

5-1-2. Definitions.

The following definitions apply in the interpretation of the provisions of this chapter, unless the context requires another meaning:

  1. “Architect” means any person who engages in the practice of architecture, as that term is defined in this section, as attested by his or her licensing as an architect in this state.
  2. “Board” means the board of examination and registration of architects established by this chapter.
  3. “Certificate” means the certificate of registration issued annually by the board, indicating that the individual named in the certificate is an architect.
  4. “Certificate of authorization” means the certificate of authorization issued by the board, indicating the sole proprietor, partnership, limited-liability partnership, corporation, or limited-liability company named in the certificate is permitted to practice architecture in the state.
  5. “Department” means the department of business regulation.
  6. “Director” means the director of the department of business regulation or his or her designee.
  7. “Practice of architecture” means rendering or offering to render those services, described as follows:
    1. Rendering or offering to render services in connection with the design and construction, enlargement, or alteration of a building or group of buildings and the space within and surrounding the buildings that have as their principal purpose human occupancy or habitation;
    2. The services referred to in this section include, but are not limited to, planning, providing preliminary studies, designs, drawings, specifications, and other technical submissions, the administration of construction contracts, and the coordination of any elements of technical submissions prepared by others including, as appropriate and without limitation, consulting engineers and landscape architects;
    3. The practice of architecture does not include the practice of engineering as defined in § 5-8-2(h)(1) , but a registered architect may perform any engineering work that is incidental to the practice of architecture.
  8. “Responsible control” means that amount of control over and detailed knowledge of the content of technical submissions during their preparations 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.

History of Section. P.L. 1977, ch. 232, § 2; P.L. 1982, ch. 442, § 1; P.L. 1997, ch. 30, art. 25, § 2; P.L. 1998, ch. 348, § 1; P.L. 2004, ch. 56, § 1; P.L. 2004, ch. 63, § 1; P.L. 2005, ch. 406, § 1; P.L. 2013, ch. 298, § 1; P.L. 2013, ch. 378, § 1.

5-1-3. Board — Membership — Appointments and term.

  1. There is established a board of examination and registration of architects, composed of five (5) architects. Each member of the board must be a qualified elector of this state for three (3) consecutive years prior to appointment. Each member of the board shall have engaged in the practice of architecture, as defined by this chapter, as an individual practitioner; a partner of a partnership or limited-liability partnership; an officer or director of a corporation; or a member or manager of a limited-liability company engaged in the practice of architecture, for not less than seven (7) years prior to his or her appointment.
  2. Each member of the board shall be appointed by the governor, with the advice and consent of the senate, to serve for a term of five (5) years and until a successor is appointed and qualified. No member of the board shall be associated in the practice of architecture, either individually or as a member of a firm, with any other member of the board.In the year 2009, staggered terms shall be implemented as follows:
    1. One member is appointed for a period of one year;
    2. One member is appointed for a period of two (2) years;
    3. One member is appointed for a period of three (3) years;
    4. One member is appointed for a period of four (4) years; and
    5. One member is appointed for a period of five (5) years.
  3. Vacancies occurring in the membership of the board shall be filled by the governor, with the advice and consent of the senate, for the unexpired portion of the term. A member appointed for a full term is not eligible for more than two (2) consecutive terms.
  4. Each member of the board shall take, and subscribe to, the oath of office generally required of state officials.

History of Section. P.L. 1977, ch. 232, § 2; P.L. 2004, ch. 56, § 1; P.L. 2004, ch. 63, § 1; P.L. 2005, ch. 406, § 1.

5-1-4. Board — Organizational and special meetings — Quorum — Seal.

  1. A regular meeting of the board shall be held in May of each year, at which time the board shall elect from its membership a chairperson, a vice-chair, and a secretary, who shall serve for one year and until their successors are elected and qualified. Special meetings of the board may be called by the chairperson or other members of the board, in accordance with any rules and regulations that the board adopts.
  2. Three (3) members of the board shall constitute a quorum for the transaction of all business, but no action shall be taken at any meeting without three (3) members in accord.
  3. The board shall adopt a seal.

History of Section. P.L. 1977, ch. 232, § 2.

5-1-5. Board — Rules and regulations — Examination and registration powers.

  1. Subject to the approval of the director, the board may establish any rules and regulations for the conduct of its own proceedings that it deems appropriate.
  2. Subject to the approval of the director, the board may establish suitable rules and regulations for the examination and registration of architects; the practice of the profession of architecture; and the issuance and renewal of certificates that it deems appropriate, including rules for the issuance of certificates by reciprocity. This shall not include any prohibition of employment of the registered architect as he or she chooses.
  3. To be registered, the applicant shall be required to pass examinations and grading procedure of the National Council of Architectural Registration Boards, provided that the applicant is qualified under § 5-1-8(a) and (b).
  4. With the assistance of the department, the board shall issue and renew certificates to individuals who have qualified to practice architecture under the provisions of this chapter. Any party aggrieved by the board’s decision regarding license issuance or renewal may, within ten (10) days of the decision, appeal the matter to the director by submitting a written request for a formal hearing to be conducted in accordance with the provisions of § 5-1-13.1 .
  5. The board has the power to take all action that is necessary and proper to effectuate the purposes of this chapter, including the power to:
    1. Recommend that the director hold formal hearings in accordance with the provisions of § 5-1-13 .1 to determine whether to suspend, revoke, annul, or take other permitted action with respect to certificates of registration and certificates of authorization in accordance with the provisions of this chapter;
    2. Investigate all complaints and charges of unprofessional conduct, including, but not limited to, conduct specified under § 5-1-13 , against any licensee or any applicant for a certificate of registration or certificate of authorization;
    3. Appoint one or more members of the board and/or an independent investigator to act on behalf of the board in investigating the conduct of any licensee, or of any applicant for a certificate of registration or certificate of authorization, or in the alternative to appoint a probable-cause committee to investigate this conduct on its behalf. The committee is to be comprised of licensees in good standing, as the board determines;
    4. Examine witnesses in connection with any investigation conducted under the authority of this chapter;
    5. Enter into consent agreements or informal resolutions with any party under investigation for violations under this chapter or chapter 84 of this title; and
    6. Participate in formal proceedings through representation by the department’s legal staff acting as the prosecuting agent before the director.
  6. The state shall indemnify the department and board and the members, employees, or agents thereof, and hold them harmless from any and all costs, damages, and reasonable attorney’s fees arising from or related in any way to claims or actions or other legal proceedings taken against them for any actions taken in good faith in the intended performance of any power granted under this chapter or for any neglect or default in the performance or exercise in good faith of that power.

History of Section. P.L. 1977, ch. 232, § 2; P.L. 1997, ch. 30, art. 25, § 2; P.L. 2005, ch. 406, § 1; P.L. 2013, ch. 298, § 1; P.L. 2013, ch. 378, § 1.

5-1-6. Board — Records of proceedings — Roster of architects — Report of transactions.

  1. The board executive of the board shall keep a record of its proceedings. The record shall include the name, age, and last known address of each applicant for registration; information concerning each applicant’s education, experience, and other qualifications; the text of all examinations administered and their results; and any other information that the board deems appropriate. The record of the board is prima facie evidence of the proceedings and a certified transcript by the board executive is admissible in evidence with the same force and effect as if the original were produced.
  2. The board shall maintain a roster of architects. Copies of the roster may be mailed annually to resident architects and to federal agencies within the state, and to state, city, and town officials, and may be distributed or sold to the public.

History of Section. P.L. 1977, ch. 232, § 2; P.L. 2000, ch. 55, art. 14, § 2; P.L. 2005, ch. 406, § 1; P.L. 2009, ch. 310, § 22; P.L. 2011, ch. 16, § 1; P.L. 2011, ch. 24, § 1.

5-1-7. Practice prohibited — Criminal penalties — Injunctions.

  1. No individual shall:
    1. Practice or offer to practice architecture in this state;
    2. Use any title, sign, card, or device implying that the individual is an architect or is competent to practice architecture in this state;
    3. Use in connection with his or her name, or otherwise, any title or description conveying or tending to convey the impression that the individual is an architect or is competent to practice architecture in this state; or
    4. Use or display any words, letters, figures, seals, or advertisements indicating or implying that the individual is an architect or is competent to practice architecture in this state, unless that individual holds a currently valid certificate of registration/authorization issued pursuant to this chapter or is specifically exempted from holding a certificate under the provisions of this chapter.
  2. No sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company shall:
    1. Practice or offer to practice architecture in this state;
    2. Use any title, sign, card, or device implying that the sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company is competent to practice architecture in this state;
    3. Use in connection with its name, or otherwise, any title or description conveying or tending to convey the impression that the entity is an architectural firm or is competent to practice architecture in this state; or
    4. Use or display any words, letters, figures, seals, or advertisements indicating that the entity is an architectural firm or is competent to practice architecture in this state, unless that sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company complies with the requirements of this chapter.
  3. Any individual, sole proprietorship, limited-liability partnership, corporation, or limited-liability company that: (1) violates subsection (a) or (b) of this section; (2) presents or attempts to use the certificate of registration/authorization of another; (3) gives any false or forged evidence of any kind to the department, board, or to any member of the board in obtaining or attempting to obtain a certificate of registration/authorization; (4) falsely impersonates any other registrant whether of a like or different name; (5) uses or attempts to use an expired, revoked, or nonexistent certificate of registration/authorization; (6) falsely claims to be registered under this chapter; or (7) otherwise violates any provision of this chapter; is 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 department for any and all fees, expenses, and costs incurred by the department and/or board in connection with the proceedings, including attorney’s fees (which amounts shall be deposited as general revenues); and be subject to, in the director’s discretion, public censure or reprimand.
  4. Either on his or her own initiative or on the recommendation of the board, the director has the power to institute injunction proceedings in superior court to prevent violations of subsection (a) or (b) or violations of § 5-1-12 . In injunction proceedings, the director is not required to prove that an adequate remedy at law does not exist, or that substantial or irreparable damage would result from continued violations. The superior court, in its discretion and in addition to any injunctive relief granted to the department, may order that any person or entity in violation of this section shall:
    1. Upon good cause shown, reimburse the department for any and all fees, expenses, and costs incurred by the department and/or board in connection with the proceedings, including attorney’s fees (which amounts shall be deposited as general revenues); and/or
    2. Be subject to public censure or reprimand.

History of Section. P.L. 1977, ch. 232, § 2; P.L. 1982, ch. 442, § 1; P.L. 1997, ch. 30, art. 25, § 2; P.L. 1998, ch. 348, § 1; P.L. 1999, ch. 319, § 1; P.L. 2004, ch. 56, § 1; P.L. 2004, ch. 63, § 1; P.L. 2005, ch. 406, § 1; P.L. 2013, ch. 298, § 1; P.L. 2013, ch. 378, § 1.

5-1-8. Examination and qualifications of applicants for certificates of registration.

  1. Any individual who is at least twenty-one (21) years of age may apply for a certificate of registration under this chapter.
  2. Each applicant for a certificate of registration shall submit satisfactory evidence to the board that he or she holds a National Architectural Accrediting Board (NAAB) professional degree in architecture from an accredited school and has had any practical experience, including academic training, that the board, by regulations uniformly applied, deems appropriate. The board may, in its discretion, adopt as its standards for minimum experience the guidelines on practical experience of the National Council of Architectural Registration Boards.
  3. Each applicant for a certificate of registration who satisfies subsection (a) of this section and holds a professional degree in architecture as described in subsection (b) of this section shall submit to a registration examination. Results of the examination are announced within ninety (90) days of the date on which the examination commenced. The board shall adopt the examinations and recommended grading procedures of the National Council of Architectural Registration Boards.
  4. The board may require applicants under this section and under § 5-1-9 to submit to a personal interview.

History of Section. P.L. 1977, ch. 232, § 2; P.L. 1997, ch. 30, art. 25, § 2; P.L. 2004, ch. 56, § 1; P.L. 2004, ch. 63, § 1; P.L. 2005, ch. 406, § 1; P.L. 2011, ch. 16, § 1; P.L. 2011, ch. 24, § 1.

5-1-9. Interstate practice.

A nonresident licensed architect seeking to practice architecture in the state of Rhode Island shall, upon application, obtain a certificate of registration by submitting satisfactory evidence to the board that he or she is registered to practice architecture in another state, and that he or she has fulfilled the requirements for National Council of Architectural Registration Board’s certification. The board shall act upon the application for a certificate of registration within forty-five (45) days of submission of evidence that the applicant is registered in that manner.

History of Section. P.L. 1977, ch. 232, § 2; P.L. 1997, ch. 30, art. 25, § 2; P.L. 2004, ch. 56, § 1; P.L. 2004, ch. 63, § 1.

5-1-10. Issuance and renewal of certificates.

  1. Upon payment of the fees required by § 5-1-11 , an individual who has complied with § 5-1-8 or § 5-1-9 is entitled to a certificate of registration indicating that he or she is qualified to practice architecture in this state. Each certificate of registration shall contain the name of the individual to whom it was issued and his or her date of birth.
  2. Every certificate of registration is valid for a period of two (2) years and expires on the last day of December of each odd-numbered year following its issuance. An architect may renew his or her certificate of registration by paying the renewal fee or fees required by § 5-1-11 . An architect who fails to renew his or her certificate of registration prior to December 31 may not thereafter renew his or her certificate of registration except upon payment of the renewal fee or fees and the additional fee required by § 5-1-11 . 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 registration has lapsed and other evidence of the continued competence and good character of the applicant, all as the board deems necessary.
  3. [Deleted by P.L. 2015, ch. 82, § 2 and P.L. 2015, ch. 105, § 2].

History of Section. P.L. 1977, ch. 232, § 2; P.L. 1997, ch. 30, art. 25, § 2; P.L. 1999, ch. 319, § 1; P.L. 2015, ch. 82, § 2; P.L. 2015, ch. 105, § 2.

Cross References.

Landscape architects license, exemption, § 5-51-12 .

Collateral References.

Failure to obtain occupational or business license or permit as defense to tort action. 13 A.L.R.2d 157.

License, failure of architect to procure, as affecting validity or enforceability of contracts. 30 A.L.R. 851; 42 A.L.R. 1226; 118 A.L.R. 646.

5-1-11. Fees — Payment and disposition.

  1. The fees paid by an applicant for filing an application for examination, for the examination; for reexamination; for registration pursuant to § 5-1-9 ; for annual renewal; or for renewal of an expired certificate; shall be sixty dollars ($60).
  2. All fees or other monies collected under the provisions of this chapter shall be deposited as general revenues. The controller is authorized and directed to draw his or her orders upon the general treasurer for payment from the fund, upon receipt by the controller of vouchers authenticated by the chairperson or secretary of the board.
  3. The fees paid by an applicant for a certificate of authorization pursuant to this section for annual renewal; for renewal of an expired certificate of authorization; or for issuance of a duplicate certificate of authorization; shall be sixty dollars ($60).

History of Section. P.L. 1977, ch. 232, § 2; P.L. 1982, ch. 442, § 1; P.L. 1995, ch. 370, art. 40, § 4; P.L. 1997, ch. 30, art. 25, § 2; P.L. 2009, ch. 68, art. 12, § 12; P.L. 2015, ch. 82, § 2; P.L. 2015, ch. 105, § 2.

5-1-12. Architect’s stamp.

  1. Every architect shall obtain a stamp designated and approved by the board, and shall impress that stamp on drawings and specifications prepared by him or her or under his or her responsible control for use in this state. An architect who impresses his or her stamp, or knowingly permits it to be impressed on drawings or specifications that were not prepared by him or her or under his or her responsible control is guilty of a misdemeanor and is subject to the penalties provided in § 5-1-7(c) . Any person who impresses an architect’s stamp, or knowingly permits it to be impressed on drawings and specifications after the architect’s certificate of registration has expired, or has been revoked, annulled, or suspended, is guilty of a misdemeanor and is subject to the penalties provided in § 5-1-7(c) .
  2. Upon forfeiture, revocation, suspension, annulment of his or her certificate of registration, or upon expiration of his or her certificate of registration without renewal, an architect shall surrender his or her stamp to the board.

History of Section. P.L. 1977, ch. 232, § 2; P.L. 1997, ch. 30, art. 25, § 2; P.L. 2005, ch. 406, § 1; P.L. 2011, ch. 16, § 1; P.L. 2011, ch. 24, § 1.

5-1-13. Revocation or suspension of certificates of registration or of authorization.

  1. After notice and hearing as provided in § 5-1-13.1 , the director may: (1) Suspend, revoke, annul, or take other permitted action with respect to any certificate of registration; and/or (2) Suspend, revoke, annul, or take other permitted action with respect to any certificate of authorization; and/or (3) Publicly censure, reprimand, or censure in writing; and/or (4) Limit the scope of practice of; and/or (5) Impose an administrative fine upon (not to exceed one thousand dollars ($1,000) for each violation); and/or (6) Place on probation; and/or (7) For good cause shown, order a reimbursement of the department for all fees, expenses, costs, and attorney’s fees in connection with the proceedings (which amounts shall be deposited as general revenues), all with or without terms, conditions, or limitations, holders of a certificate of registration or a certificate of authorization (subsequently referred to as a licensee or licensees) for any one or more of the causes set out in subsection (b) of this section.
  2. The director may take actions specified in subsection (a) of this section for any of the following causes:
    1. Bribery, fraud, deceit, or misrepresentation in obtaining a certificate of registration or certificate of authorization;
    2. Practicing architecture in another state, country, or jurisdiction in violation of the laws of that state, country, or jurisdiction;
    3. Practicing architecture in this state in violation of the standards of professional conduct established by the board and approved by the director;
    4. Fraud, deceit, recklessness, gross negligence, misconduct, or incompetence in the practice of architecture;
    5. Use of an architect’s stamp in violation of § 5-1-12 ;
    6. Violation of any of the provisions of this chapter or chapter 84 of this title;
    7. Suspension or revocation of the right to practice architecture before any state or before any other country or jurisdiction;
    8. Conviction of or pleading guilty or nolo contendere to any felony, or to any crime of, or act constituting a crime of, forgery, embezzlement, obtaining money under false pretenses, bribery, larceny, extortion, conspiracy to defraud, or any other similar offense, in a court of competent jurisdiction of this state or any other state or of the federal government;
    9. Failure to furnish to the department, board, or any person acting on behalf of the department and/or board, within sixty (60) days of notification, any information that may be legally requested by the department and/or board;
    10. In conjunction with any violation of subsections (b)(1) — (b)(9), any conduct reflecting adversely upon the licensee’s fitness to engage in the practice of architecture; and
    11. In conjunction with any violation of subsections (b)(1) — (b)(9), any other conduct injurious to the reputation of the architectural profession.

History of Section. P.L. 1977, ch. 232, § 2; P.L. 1997, ch. 30, art. 25, § 2; P.L. 1999, ch. 319, § 1; P.L. 1999, ch. 354, § 1; P.L. 2005, ch. 406, § 1; P.L. 2013, ch. 298, § 1; P.L. 2013, ch. 378, § 1; P.L. 2019, ch. 308, art. 1, § 2.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-1-13.1. Initiation of proceedings — Hearings before the department — Appeals — Notice to other states.

  1. The director may initiate formal proceedings under this chapter against holders of a certificate of registration and/or a certificate of authorization (subsequently referred to as a licensee or licensees) either on his or her own motion; upon recommendation of the board; on complaint of any person; or upon receiving notification from another state board of architects or from the appropriate authority in another country or jurisdiction; of its decision to:
    1. Revoke, suspend, annul, or refuse to renew the practice privileges granted in that state or in that country or jurisdiction to the licensee; or
    2. Publicly censure, or censure in writing, limit the scope of practice of, impose an administrative fine upon, or place on probation the licensee.
  2. A written notice stating the nature of the charge or charges against the licensee and the time and place of the hearing before the department 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.
  3. 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 department may proceed to hear evidence against the licensee and may enter any order that is justified by the evidence. That order is final unless the licensee petitions for a review of it as provided in this section; provided, that within thirty (30) days from the date of any order, upon a showing of good cause for failing to appear and defend, the department may reopen the proceedings and may permit the licensee to submit evidence in his, her, or on its behalf.
    1. At any hearing pursuant to this section, the licensee may:
      1. Appear in person or be represented by counsel;
      2. Produce evidence and witnesses on his, her, or its behalf;
      3. Cross-examine witnesses; and
      4. Examine the evidence that is produced.
    2. A sole proprietorship may be represented before the department or board by counsel or by the sole proprietor. A partnership or limited-liability partnership may be represented before the department or board by counsel or any partner of the partnership. A corporation may be represented by counsel before the department or board or by any shareholder, officer, or director of the corporation.  A limited-liability company may be represented before the department or board by counsel or by any member or manager of the limited-liability company. The licensee is entitled, upon written application to the board, to the issuance of subpoenas to compel the attendance of witnesses on the licensee’s behalf.
  4. The director may issue subpoenas to compel the attendance of witnesses and the production of documents and may administer oaths, take testimony, hear proofs, and receive exhibits in evidence in connection with or upon hearing pursuant to this chapter. In case of disobedience to a subpoena, the director may petition the superior court to require the attendance and testimony of witnesses and the production of documentary evidence.
  5. The department is not bound by strict rules of procedure or by laws of evidence in the conduct of its proceedings, but any findings of fact and conclusions of law made by the director must be based upon sufficient legal evidence.
  6. Recordings of all hearings pursuant to this section shall be in accordance with the department’s rules of procedure for administrative hearings.
  7. Any appeal from the decision of the director, by a person or persons adversely affected by the decision, is governed by § 42-35-15 .
  8. On the director rendering a decision to: (1) revoke, suspend, or annul a certificate of registration issued under the laws of this state; (2) revoke, suspend, or annul a certificate of authorization issued under the laws of this state; or (3) publicly censure, censure in writing, limit the scope of practice of, impose an administrative fine upon, or place on probation a licensee, the board shall examine its records to determine whether the licensee holds a certificate of registration or a certificate of authorization to practice in any other state, country, or jurisdiction. If the board determines that the licensee in fact holds a certificate of registration or certificate of authorization, the board shall immediately notify the board of architecture of the other state, country, or jurisdiction by mail of the director’s decision pursuant to this section, and include in the notice an indication as to whether or not the licensee has appealed the decision.
  9. The director may, in his or her discretion, order any licensee against whom proceedings have been initiated under § 5-1-13 and this section to reimburse the department for any fees, expenses, and costs incurred by the department and/or in connection with the proceedings, including attorney’s fees. These fees shall be paid within thirty (30) days from the date they are assessed and may be reviewed in accordance with § 42-35-15 , and deposited as general revenues.
  10. The board may, in its discretion, issue a certificate of registration or certificate of authorization to any applicant denied a certificate of registration or certificate of authorization, under any of the provisions of this section upon presentation of suitable evidence.
  11. The department shall make its legal staff available to act as legal advisor to the board and render any legal assistance that is necessary in carrying out the provisions of this chapter. The director may employ other counsel and obtain other necessary assistance to aid in the enforcement of this chapter, and the compensation and expenses for the employment shall be paid from the fund of the department.

History of Section. P.L. 1997, ch. 30, art. 25, § 3; P.L. 2004, ch. 56, § 1; P.L. 2004, ch. 63, § 1; P.L. 2005, ch. 406, § 1; P.L. 2013, ch. 298, § 1; P.L. 2013, ch. 378, § 1.

5-1-14. Practices permitted.

Nothing contained in this chapter shall be construed to prohibit practices normally permitted to employees, engineers, contractors, and others, including the following:

  1. A draftsperson, student, superintendent, or other employee of a lawfully practicing registered architect acting under the instruction, responsible control, and supervision of his or her employer. This chapter does not prevent the employment of a superintendent of the construction, enlargement, or alteration of a building or part of a building who acts under the immediate responsible control of the registered architect by whom the plans and specifications of the building, enlargement, or alteration were prepared.
  2. A registered professional engineer doing architectural work as may be incident to the practice of his or her engineering profession, not to exceed thirty-five thousand (35,000) cubic feet of enclosed space, provided all drawings for that construction are signed by the author of the drawing with his or her true appellation as a “registered professional engineer” without the use in any form of the title “architect.”
  3. The construction or alteration of any single-family or two-family house or any minor accessory building to it by a person other than a registered architect.
  4. The construction or alteration of any building used for farm purposes, as long as it is not for human habitation or occupancy, by a person other than a registered architect.

History of Section. P.L. 1977, ch. 232, § 2; P.L. 1982, ch. 442, § 1; P.L. 1997, ch. 30, art. 25, § 2; P.L. 2005, ch. 406, § 1.

5-1-15. Severability.

The provisions of this chapter are severable, and if any section is declared invalid or void for any reason, the remainder of this chapter is not affected or impaired.

History of Section. P.L. 1977, ch. 232, § 2.

5-1-15.1. Certificate of authorization for sole proprietorships, partnerships, limited-liability partnerships, corporations, or limited-liability companies.

  1. A sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company shall be admitted to practice architecture in this state if:
    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;
    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
    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 shareholder if there are no directors, if a corporation), or a manager (or member if there are no managers, if a limited-liability company) and registered to practice architecture in this state.
  2. 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.
  3. The practice, or offer to practice, architecture as defined by this chapter 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 this chapter, is permitted provided that 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 provided that the firm has been issued a certificate of authorization by this board.
  4. Every firm must obtain a certificate of authorization from this board, and 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 must be registered with the board. The certificate of authorization shall be issued by the board upon satisfaction of the provisions of this chapter and the payment of a fee as determined by the board in accordance with § 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.
  5. 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. 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 as the board deems necessary.
  6. In the event of ownership transition or change in the responsible control of a firm, the board may permit a six-month (6) grace period to allow a Rhode Island registered architect to continue to practice until a new certificate of authorization is issued.

History of Section. P.L. 1997, ch. 30, art. 25, § 3; P.L. 1998, ch. 348, § 1; P.L. 1999, ch. 319, § 1; P.L. 2004, ch. 56, § 1; P.L. 2004, ch. 63, § 1; P.L. 2005, ch. 406, § 1; P.L. 2011, ch. 16, § 1; P.L. 2011, ch. 24, § 1.

5-1-16. Architects rendering assistance during disaster emergency — Immunity from civil liability.

  1. An architect or architectural firm, duly licensed to practice in Rhode Island under this chapter, who or that voluntarily and without compensation provides architectural services at the scene of a disaster emergency is not liable for any personal injury, wrongful death, property damage, or other loss or damages caused by an act or omission of the architect or architectural firm in performing the services.
  2. As used in this section, “disaster emergency” means a disaster emergency declared by executive order or proclamation of the governor pursuant to chapter 15 of title 30.
  3. The immunity provided in subsection (a) of this section applies only to the practice of architecture as defined in this chapter regarding an architectural service that:
    1. Concerns any building, structure, or system, whether publicly or privately owned, that is identified pursuant to a disaster emergency executive order or proclamation;
    2. Relates to the structural integrity of the entire building, structure, or system, or any portion of the structure or system, or to a nonstructural element of the structure or system, affecting public safety; and
    3. Is rendered during the time in which a state of disaster emergency exists, as provided in chapter 15 of title 30.
  4. The immunity granted by this section shall not apply to acts or omissions constituting gross negligence or willful misconduct.
  5. In the event that the governor of Rhode Island declares a state disaster, all registered architects with a National Council of Architectural Registration Boards (NCARB) certification will be allowed to practice for a period of ninety (90) days from the date of the declared disaster.

History of Section. P.L. 2000, ch. 403, § 1; P.L. 2011, ch. 16, § 1; P.L. 2011, ch. 24, § 1.

Chapter 2 Bowling Alleys, Billiard Tables, and Shooting Galleries

5-2-1. City and town regulation and taxation of bowling alleys and billiard tables.

The town and city councils of the several towns and cities may tax, regulate, and, if they find it expedient, prohibit and suppress, bowling alleys and billiard tables in their respective cities and towns, conforming to law.

History of Section. G.L. 1896, ch. 40, § 16; G.L. 1909, ch. 50, § 16; G.L. 1923, ch. 51, § 16; G.L. 1938, ch. 333, § 16; G.L. 1956, § 5-2-1 .

Cross References.

Discriminatory practices as to accommodations prohibited, § 11-24-1 et seq.

Employment of minors in hazardous places or occupations, § 28-3-9 .

Comparative Legislation.

Billiard and pool rooms:

Conn. Gen. Stat. § 53-280 et seq.

Mass. Ann. Laws ch. 140, § 177 et seq.

Collateral References.

Licensing and regulation of pool and billiard rooms and bowling alleys. 20 A.L.R. 1482; 29 A.L.R. 41; 53 A.L.R. 149; 72 A.L.R. 1339.

Zoning or licensing regulation prohibiting or restricting location of billiard rooms and bowling alleys. 100 A.L.R.3d 252.

5-2-2. Refusal of bowling alley, box ball alley, or billiard table keeper to comply with order of the city or town council.

The keeper of any bowling alley, box ball alley, or billiard table who refuses or neglects to comply with an order or decree relating to it, which any city or town council is authorized to make, shall be fined fifty dollars ($50.00).

History of Section. G.L. 1896, ch. 104, § 4; P.L. 1906, ch. 1323, § 1; G.L. 1909, ch. 125, § 2; G.L. 1923, ch. 130, § 2; G.L. 1938, ch. 363, § 2; G.L. 1956, § 5-2-2 .

5-2-3. Keeper of bowling alley, box ball alley, or billiard table defined.

The owner or occupant of the premises on which any bowling alley, box ball alley, or billiard table is situated is deemed the keeper of that bowling alley, box ball alley, or billiard table, within the meaning of the provisions of this chapter.

History of Section. G.L. 1896, ch. 104, § 5; P.L. 1906, ch. 1323, § 2; G.L. 1909, ch. 125, § 3; G.L. 1923, ch. 130, § 3; G.L. 1938, ch. 363, § 3; G.L. 1956, § 5-2-3 .

5-2-4. Providence — Regulation of bowling alleys.

The bureau of licenses of the city of Providence may regulate bowling alleys in that city and make orders as to the manner of building and the hours of using bowling alleys; and in case an order is disobeyed, may issue their warrant, directed to the city sergeant or to any town constable, commanding him or her to take up and destroy any bowling alley kept in violation of that order; and every city sergeant or constable to whom a warrant is delivered shall immediately execute the warrant.

History of Section. G.L. 1896, ch. 104, § 6; G.L. 1909, ch. 125, § 4; G.L. 1923, ch. 130, § 4; G.L. 1938, ch. 363, § 4; impl. am. P.L. 1951, ch. 2721, § 4; G.L. 1956, § 5-2-4 ; P.L. 2015, ch. 260, § 3; P.L. 2015, ch. 275, § 3.

5-2-5. Licenses for shooting galleries required.

Every person who keeps any pistol gallery, rifle gallery, or other building, or other enclosure in any city or town of this state, where firearms are used, without a license from the city council or other licensing authority of the city or the town council of the town, shall be fined two hundred dollars ($200) for the first offense, and five hundred dollars ($500) for each subsequent offense.

History of Section. G.L. 1896, ch. 104, § 2; P.L. 1898, ch. 547, § 1; G.L. 1909, ch. 125, § 1; G.L. 1923, ch. 130, § 1; G.L. 1938, ch. 363, § 1; G.L. 1956, § 5-2-5 .

Cross References.

Veteran’s certificate, renewal on discharge, § 30-20-1 .

Comparative Legislation.

Shooting galleries:

Mass. Ann. Laws ch. 140, § 56A.

Collateral References.

Gun club, or shooting gallery or range, as nuisance. 26 A.L.R.3d 661.

5-2-6. Tax on bowling alleys and shooting galleries.

The city or town council of each city or town shall assess, levy, and collect a tax not exceeding twenty-five dollars ($25.00) nor less than five dollars ($5.00) per annum on every person who owns or keeps a bowling alley or box ball alley in the city or town, except in the city of Providence, for each bowling alley or box ball alley kept by him or her; and a tax not exceeding two hundred dollars ($200) per annum for each bowling alley in the city of Providence on its owner or keeper; and a tax not exceeding two hundred dollars ($200) per annum for each pistol gallery, rifle gallery, or other building or enclosure referred to in § 5-2-5 on its owner or keeper.

History of Section. G.L. 1896, ch. 104, § 7; P.L. 1906, ch. 1323, § 3; G.L. 1909, ch. 125, § 5; G.L. 1923, ch. 130, § 5; G.L. 1938, ch. 363, § 5; G.L. 1956, § 5-2-6 .

5-2-7. Bowling alley tax assessed against owner or occupant of building.

The city or town council may assess, levy, and collect the tax referred to in § 5-2-6 , for any bowling alley or box ball alley, of any person who owns or occupies the house or building in which the bowling alley or box ball alley is kept.

History of Section. G.L. 1896, ch. 104, § 8; P.L. 1906, ch. 1323, § 4; G.L. 1909, ch. 125, § 6; G.L. 1923, ch. 130, § 6; G.L. 1938, ch. 363, § 6; G.L. 1956, § 5-2-7 .

5-2-8. Collection and disposition of taxes.

The taxes referred to in § 5-2-6 shall be collected in the manner prescribed for the collection of city or town taxes and appropriated to the use of the city or town in which the tax is collected.

History of Section. G.L. 1896, ch. 104, § 9; G.L. 1909, ch. 125, § 7; G.L. 1923, ch. 130, § 7; G.L. 1938, ch. 363, § 7; G.L. 1956, § 5-2-8 ; P.L. 1959, ch. 130, § 1.

5-2-9. Sunday operation of bowling alleys and billiard tables.

  1. Town or city councils or licensing authorities in any city or town may permit licensees operating bowling alleys, or persons paying a tax for the operation of a bowling alley, to operate rooms or places where bowling, playing of billiards, or pocket billiards for a fee or charge may be engaged in by patrons of those rooms or places on the first day of the week, subject to any restrictions and regulations that the city or town council or licensing authority designates; provided, that the operation of bowling alleys or rooms or places where bowling, playing of billiards, or pocket billiards for a fee or charge is permitted on the first day of the week only between the hours of one o’clock (1:00) p.m. and twelve o’clock (12:00) midnight; and provided, that no bowling alley or rooms or places where bowling, playing of billiards, or pocket billiards for a fee or charge is operated on the first day of the week within two hundred feet (200´) of a place of public worship used for public worship.
  2. The operation of any bowling alley, room, or place between any hour on the last day of the week and one o’clock (1:00) a.m. on the first day of the week is not a violation of this section.

History of Section. G.L. 1923, ch. 129, § 23, as enacted by P.L. 1936, ch. 2398, § 1; G.L. 1938, ch. 362, § 21; G.L. 1956, § 5-2-9 ; P.L. 1960, ch. 96, § 1.

Cross References.

Holiday business, § 5-23-1 et seq.

Collateral References.

Construction of statute or ordinance prohibiting or regulating sports and games on Sunday. 24 A.L.R.2d 813.

Validity, construction, and effect of “Sunday closing” or “blue” laws — modern status. 10 A.L.R.4th 246.

5-2-10. Licensing of billiard, bagatelle, pool, scippio tables and game rooms.

  1. No person shall keep a billiard table, bagatelle table, pool table, scippio table, or any table of a similar character, in any saloon, shop, or place of business within this state, or own or keep any billiard, bagatelle, pool, or scippio table, or any table of a similar character, for public use or profit within this state, or operate a pinball or game room without a license from the city or town council of the city or town where the table is kept or used, first had and obtained. The city or town council may grant or refuse to grant licenses for these tables, and the licenses granted continue for a term not exceeding one year.
  2. The term “pinball or game room,” as used in this section, means any public place, building, or room where three (3) or more gaming devices, machines, or apparatuses are kept for the use and entertainment of the public; or any place where the purpose of the business is to maintain three (3) or more machines, which, upon the insertion of a coin, slug, token, plate, or disc, may be operated by the public generally for use as a game or amusement whether or not registering a score and whether its operation demands skill or chance or both. The definition of game room is limited to those places that derive their principal source of income from those machines. Each city or town council may by ordinance prescribe any rules and regulations and may by ordinance determine the number of licenses to be issued that they deem necessary for the operation of pinball or game rooms; provided, that no game room located within one thousand feet (1,000´) of any elementary and/or secondary school in the city of Providence may open before four o’clock (4:00) p.m. on any school day.

History of Section. G.L. 1896, ch. 104, § 10; G.L. 1909, ch. 125, § 8; G.L. 1923, ch. 130, § 8; G.L. 1938, ch. 363, § 8; G.L. 1956, § 5-2-10 ; P.L. 1979, ch. 325, § 1; P.L. 1982, ch. 399, § 1.

Cross References.

Gambling place, revocation of license, § 11-19-19 .

Veteran’s certificate, renewal on discharge, § 30-20-1 .

NOTES TO DECISIONS

Extent of Licensing Authority.

A city ordinance providing for the licensing of juke boxes and mechanical amusement devices was null and void because licensing legislation is the exclusive prerogative of the legislature except where it has expressly conferred that power upon a city, and since no such power had been delegated to the city, the ordinance was invalid. Newport Amusement Co. v. Maher, 92 R.I. 51 , 166 A.2d 216, 1960 R.I. LEXIS 137 (1960).

Tables of Similar Character.

Four exhibits in evidence were illustrated brochures showing such devices to be a coin-operated music recorder popularly known as a “juke box,” a baseball game mounted on a coin-operated mechanical table, a similarly mounted and operated target shooting device called “Texan” and another target device called “Pony Express.” None of these devices sufficiently resembled any of the tables enumerated in this section so as to be reasonably deemed a “table of a similar character.” Newport Amusement Co. v. Maher, 92 R.I. 51 , 166 A.2d 216, 1960 R.I. LEXIS 137 (1960).

A “juke box” is far removed from anything in the nature of a bagatelle table. Newport Amusement Co. v. Maher, 92 R.I. 51 , 166 A.2d 216, 1960 R.I. LEXIS 137 (1960).

Collateral References.

Licensing and regulation of pool and billiard rooms and bowling alleys. 20 A.L.R. 1482; 29 A.L.R. 41; 53 A.L.R. 149; 72 A.L.R. 1339.

5-2-11. Billiard, bagatelle, pool, and scippio table and game room license fees.

Every person taking a license pursuant to § 5-2-10 shall pay to the city or town treasurer of the city or town granting the license a sum to be fixed by the city or town council granting the license of not less than ten dollars ($10.00) nor more than two hundred dollars ($200), one half (1/2) of that amount to the use of the town or city and one half (1/2) of that amount to the use of the state.

History of Section. G.L. 1896, ch. 104, § 11; G.L. 1909, ch. 125, § 9; G.L. 1923, ch. 130, § 9; G.L. 1938, ch. 363, § 9; G.L. 1956, § 5-2-11 .

NOTES TO DECISIONS

Mechanical Amusement Devices.

A city ordinance providing for the licensing of juke boxes and mechanical amusement devices was null and void because licensing legislation is the exclusive prerogative of the legislature except where it has expressly conferred that power upon a city, and since no such power had been delegated to the city the ordinance was invalid. Newport Amusement Co. v. Maher, 92 R.I. 51 , 166 A.2d 216, 1960 R.I. LEXIS 137 (1960).

Section 5-2-13 and this section do not furnish a city with the necessary enabling authority to impose a license fee on juke boxes and mechanical amusement devices. Additionally, the city cannot prohibit the use of those devices by any minor under the age of eighteen years. Newport Amusement Co. v. Maher, 92 R.I. 51 , 166 A.2d 216, 1960 R.I. LEXIS 137 (1960).

5-2-12. Penalty for maintenance of unlicensed tables.

Every person who owns, keeps, or uses any billiard table, bagatelle table, pool table, scippio table, or any table of similar character, without first obtaining a license, shall be fined twenty dollars ($20.00) or be imprisoned not exceeding three (3) months for each offense.

History of Section. G.L. 1896, ch. 104, § 12; G.L. 1909, ch. 125, § 10; G.L. 1923, ch. 130, § 10; G.L. 1938, ch. 363, § 10; G.L. 1956, § 5-2-12 .

5-2-13. Permitting use of tables by minors.

  1. No person licensed by virtue of this chapter shall permit any table, the use of which has been permitted under a license granted to him or her, to be used by any minor under the age of eighteen (18) years except as provided in this section; and in case of that use being permitted, the person holding the license then forfeits the license, and is liable to the penalty imposed by § 5-2-12 .
  2. A city or town, by ordinance, may authorize any facility operated by a licensed person in which alcoholic beverages are not served to allow a minor sixteen (16) years of age or older to use any table.

History of Section. G.L. 1896, ch. 104, § 13; G.L. 1909, ch. 125, § 11; G.L. 1923, ch. 130, § 11; G.L. 1938, ch. 363, § 11; G.L. 1956, § 5-2-13 ; P.L. 1994, ch. 100, § 1.

NOTES TO DECISIONS

Mechanical Amusement Devices.

Section 5-2-11 and this section do not furnish a city with the necessary enabling authority to impose a license fee on juke boxes and mechanical amusement devices. Additionally, the city cannot prohibit the use of those devices by any minor under the age of eighteen years. Newport Amusement Co. v. Maher, 92 R.I. 51 , 166 A.2d 216, 1960 R.I. LEXIS 137 (1960).

A city ordinance providing for the licensing of juke boxes and mechanical amusement devices was null and void because licensing legislation is the exclusive prerogative of the legislature except where it has expressly conferred that power upon a city, and since no such power had been delegated to the city, the ordinance was invalid. Newport Amusement Co. v. Maher, 92 R.I. 51 , 166 A.2d 216, 1960 R.I. LEXIS 137 (1960).

Collateral References.

Billiard rooms, regulations as to minors in. 20 A.L.R. 1487; 29 A.L.R. 41; 53 A.L.R. 149; 72 A.L.R. 1339.

5-2-14. Continuation of powers of boards and bureaus of police commissioners.

Whenever the powers conferred in this chapter by law upon city and town councils have been conferred upon boards or bureaus of police commissioners in any city or town, those powers shall continue to be exercised by those boards or bureaus of police commissioners.

History of Section. G.L. 1909, ch. 125, § 12; G.L. 1923, ch. 130, § 12; G.L. 1938, ch. 363, § 12; G.L. 1956, § 5-2-14 .

Chapter 3 Public Accountancy [Repealed.]

5-3-1 — 5-3-24. [Repealed.]

Repealed Sections.

Former chapter 3 of this title (P.L. 1984, ch. 226, § 2: P.L. 1992, ch. 391, § 1), consisting of §§ 5-3-1 — 5-3-24 and concerning public accountancy, was repealed by P.L. 1995, ch. 159, § 1, effective July 3, 1995. For present similar provisions, see Chapter 3.1 of this title.

A former chapter (P.L. 1906, ch. 1370, §§ 1, 3-11; G.L. 1909, ch. 34, §§ 1, 3-11; G.L. 1923, ch. 211, §§ 1, 3-11; P.L. 1930, ch. 1522, § 1; G.L. 1938; ch. 148, §§ 1, 3-11; P.L. 1939, ch. 660, §§ 120, 129, 131; P.L. 1940, ch. 821, § 4; G.L. 1956, §§ 5-3-1 5-3-1 8; P.L. 1960, ch. 76, § 2; P.L. 1962, ch. 228, § 1; P.L. 1963, ch. 28, § 1; P.L. 1970, ch. 272, § 1), consisting of former §§ 5-3-1 — 5-3-18 and concerning certified public accountants, was repealed by P.L. 1984, ch. 226, § 1, effective July 1, 1984. Section 2 of P.L. 1984, ch. 226 enacted a new chapter.

Chapter 3.1 Public Accountancy

5-3.1-1. Short title.

This chapter may be cited as the “Accountancy Act.”

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1.

Cross References.

Professional service corporations, § 7-5.1-1 et seq.

5-3.1-2. Policy and purpose.

It is the policy of this state and the purpose of this chapter:

  1. To promote the dependability of information that is used for guidance in financial transactions or for accounting for or assessing the financial status or performance of commercial, noncommercial, and governmental enterprises;
  2. To protect the public interest by requiring that persons professing special competence in accountancy or offering assurance as to the reliability or fairness of presentation of that information demonstrate their qualification to do so, and that persons who have not demonstrated and maintained those qualifications, including, but not limited to, certificate holders not in public practice, not be permitted to hold themselves out as having that special competence or to offer that assurance;
  3. To regulate the professional conduct of persons licensed as having special competence in accountancy, in all aspects of the practice of public accountancy;
  4. To establish a public authority competent to prescribe and assess the qualifications of and to regulate the professional conduct of practitioners of public accountancy; and
  5. To prohibit the use of titles relating to the practice of public accountancy that are likely to mislead the public as to the status or competence of the persons using those titles.

History of Section. P.L. 1995, ch. 159, § 2.

5-3.1-3. Definitions.

As used in this chapter, unless the context requires otherwise, the following terms are construed as follows:

  1. “Attest” means providing the following services:
    1. Any audit or other engagement to be performed in accordance with the Statements on Auditing Standards (SAS);
    2. Any review of a financial statement to be performed in accordance with the Statement on Standards for Accounting and Review Services (SSARS);
    3. Any examination of prospective financial information to be performed in accordance with the Statements on Standards for Attestation Engagements (SSAE);
    4. Any engagement to be performed in accordance with the standards of the public company accounting oversight board;
    5. Any examination, review, or agreed-upon procedures engagement to be performed in accordance with the SSAE, other than an examination described in subsection (1)(iii); and
    6. The statements on standards specified in this definition shall be adopted by reference by the board pursuant to rulemaking and shall be those developed for general application by recognized national accountancy organizations, such as the American Institute of Certified Public Accountants, and the Public Company Accounting Oversight Board.
  2. “Authority” means an authority to practice as a public accountant in this state granted by the public accountants advisory commission under former § 5-3-6 (P.L. 1962, chapter 228, Section 1, as amended by P.L. 1970, chapter 272, Section 1).
  3. “Board” means the board of accountancy, a public authority created by § 5-3.1-4 .
  4. “Certificate” means a certificate as certified public accountant issued under this chapter or corresponding provisions of prior law, or a corresponding certificate as certified public accountant issued after examination under the law of any other state.
  5. “Certified public accountant” or “CPA” means a person holding a certificate issued under this chapter or corresponding provisions of prior law or under the accountancy act or similar law of any other state.
  6. “Compilation” means providing a service to be performed in accordance with the Statement on Standards for Accounting and Review Services (SSARS), as adopted by the American Institute of Certified Public Accountants, that is presenting in the form of financial statements, information that is the representation of management without undertaking to express any assurance on the statements.
  7. “Entity” includes a general partnership, limited-liability company, limited-liability partnership, corporation, sole proprietor, trust, and joint venture.
  8. “Good moral character” for purposes of this section, means lack of a history of dishonest or felonious acts.
  9. “Licensee” means the holder of a certificate, authority, or permit issued under this chapter or under the prior laws of this state.
  10. “Majority” refers to more than fifty percent (50%) ownership in terms of financial interests and voting rights.
  11. “Peer review” means a study, appraisal, or review of one or more aspects of the professional work of a practice unit engaged in the practice of public accountancy in this state, by a licensee or licensees who are not affiliated with the practice unit being reviewed.
  12. “Permit” means a permit to practice public accountancy issued under § 5-3.1-7 , § 5-3.1-8 , or § 5-3.1-9 , or under corresponding provisions of prior law, or under corresponding provisions of the law of any other state.
  13. “Practice of (or practicing) public accounting or accountancy” means the performance of, or the offering to perform, in an independent posture, for a client or potential client, one or more kinds of services involving the use of accounting or auditing skills, in connection with the issuance of reports as defined in subsection (17).
  14. “Practice unit” means a sole proprietorship, corporation, partnership, or other entity engaged in the practice of public accounting in this state. For the purpose of this chapter, the office of the auditor general is considered a practice unit.
  15. “Principal residence” means the state in which a person has the right to register to vote for, or the right to vote in, general elections and in which he or she qualifies to file a resident state income tax return.
  16. “Public accountant” or “PA” means a person holding an authority as a public accountant issued under the prior laws of this state.
  17. “Report” means an opinion, report, or other form of language that states or implies assurance as to the reliability of the attested information or compiled financial statements and that also includes, or is accompanied by, a statement or implication that the person or practice unit issuing the financial statements has special knowledge or competence in accounting or auditing. A statement or implication of special knowledge or competence may arise from use by the issuer of the report of names or titles indicating that the issuer is an accountant or auditor, or from the language of the report itself. The term “report” includes any form of language that disclaims an opinion when that language is conventionally understood to imply any positive assurance as to the reliability of the attested information or compiled financial statements referred to and/or any special competence on the part of the person or practice unit issuing that language; and it also includes any other form of language that is conventionally understood to imply that assurance and/or special knowledge or competence.
  18. “State” means the states of the United States, the District of Columbia, Puerto Rico, Guam, and the U.S. Virgin Islands. The term “this state” means the state of Rhode Island.
  19. “Substantial equivalency” means a determination by the board of accountancy that the education, examination, and experience requirements contained in the statutes and administrative rules of another state or jurisdiction are comparable to or exceed the education, examination, and experience requirements included in this chapter or that an individual CPA’s education, examination, and experience qualifications are comparable to or exceed the education, examination, and experience requirements contained in this chapter. In ascertaining substantial equivalency as used in this chapter, the board shall take into account the qualifications without regard to the sequence in which experience, education, or examination requirements were attained.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1; P.L. 2007, ch. 225, § 1; P.L. 2007, ch. 238, § 1; P.L. 2011, ch. 17, § 1; P.L. 2011, ch. 23, § 1; P.L. 2016, ch. 344, § 1; P.L. 2016, ch. 362, § 1.

5-3.1-4. Board of accountancy.

  1. There is created a board of accountancy in and for the state of Rhode Island, to be known as the Rhode Island board of accountancy. The board shall consist of five (5) members. All members shall be appointed by the governor. Membership of the board shall consist of three (3) members who hold certificates and valid permits to practice as certified public accountants in this state and who are in public practice as certified public accountants in this state, and one member who holds an authority and a valid permit to practice as a public accountant in this state unless the governor shall not be able to find a qualified appointee within the class of public accountants at which time the governor shall appoint a certified public accountant. All four (4) of those members shall have at least ten (10) years’ experience in a full-time practice of public accountancy. The fifth member shall be from the public sector and shall have professional or practical experience in the use of accounting services and financial statements as to be qualified to evaluate whether the qualifications, activities, and professional practice of those persons and firms regulated under this chapter conform with the standards established to protect the public interest. The board member from the public sector shall be designated as the public’s member to the board for the term of service appointed. Except as provided, the term of the members of the board shall be five (5) years. No member of the board shall be associated in the practice of accountancy, either individually or as a member of a firm, with any other member of the board. The members of the Rhode Island board of accountancy appointed and serving under prior law on July 1, 1995, shall serve out the terms for which they were originally appointed as members of the board created by this section. Vacancies occurring during any term shall be filled by appointment by the governor for the unexpired term. Upon the expiration of his or her term of office, a member shall continue to serve until his or her successor has been appointed and has assumed office. The governor shall remove from the board any member whose certificate, authority, or permit has been revoked, suspended, or not renewed. No person who has served two (2) consecutive, complete terms is eligible for reappointment. Serving the remainder of an unexpired term upon appointment by the governor to fill a vacancy on the board shall not be considered as serving a complete term.
  2. The board shall elect annually from among its members a chairperson and any other officers that it deems appropriate. The board shall meet at any times and places that are fixed by the board and in any event shall meet no less than four (4) times each year. Three (3) members of the board shall constitute a quorum for the transaction of business. The board shall have a seal which shall be judicially noticed. The board shall retain or arrange for the retention of all applications and documents under oath that are filed with the board, and shall maintain a registry of the names and addresses of all licensees. The board shall keep records of its proceedings, and in any proceeding in court, civil or criminal, arising out of, or founded upon, any provision of this chapter, copies of the records certified as correct under the seal of the board are admissible in evidence.
  3. Each member of the board shall be reimbursed for actual and necessary expenses incurred in the discharge of those duties, but shall not receive compensation for their services on the board.
  4. All fees and monies derived under the provisions of this chapter shall be paid to, and received by, the general treasurer of the state of Rhode Island, who shall keep the monies in a restricted receipt account. All monies in the restricted receipt account shall be used to reimburse the board for expenses incurred in the administration and enforcement of this chapter. The board treasurer is authorized and directed to draw orders upon the general treasurer for payment from the restricted receipt account upon receipt by the board treasurer of vouchers authenticated by the chairperson, vice chairperson, or secretary of the board.
  5. The board shall maintain on its website an annual report of its activities with the governor and the general assembly of this state. The report shall include, but not be limited to, a statement of all receipts and disbursements and a listing of all current licensees.
  6. The board shall prescribe any rules and regulations not inconsistent with the provisions of this chapter that it deems consistent with, or required by, the public welfare and policy established in § 5-3.1-2 . Those rules and regulations may include:
    1. Rules and regulations of procedure for governing the conduct of matters before the board;
    2. Rules and regulations of professional conduct for establishing and maintaining high standards of competence and integrity in the profession of public accounting;
    3. Rules and regulations governing educational and experience requirements for the issuance of certificates;
    4. Rules and regulations establishing requirements for continuing education to promote the professional competence of holders of permits, which the board may require those holders to meet as a condition of their continuing in the practice of public accounting;
    5. Rules and regulations governing practice units engaged in the practice of public accounting, including, but not limited to, rules and regulations concerning the style, name, title, and affiliation with any other organization, and establishing reasonable standards as to professional liability insurance;
    6. Rules and regulations for reviewing and monitoring professional performance and conducting peer reviews;
    7. Any other rules and regulations that the board deems necessary or appropriate in exercising its functions under this chapter.
  7. The promulgation of any rule, regulation, or amendment to it under subsection (f) of this section, or under any other provision of this chapter, shall be in accordance with § 42-35-3 .
  8. The board may employ any personnel and arrange for any assistance, legal or otherwise, that it requires for the performance of its duties. It may also establish one or more advisory committees as it deems necessary in the performance of its duties. The authority and term of that advisory committee may be permanent or temporary in nature as determined by the board.
  9. In addition to its rulemaking authority, the board has the power to take all action that is necessary and proper to effectuate the purposes of this chapter, including the power to:
    1. Sue and be sued in its official name as an agency of this state;
    2. Investigate all complaints and charges of unprofessional conduct, including, but not limited to, conduct specified under § 5-3.1-12 , against any licensee or any applicant for a certificate or permit, and to hold hearings, in accordance with the provisions of § 5-3.1-14 , to determine whether those complaints and charges are substantiated;
    3. Appoint one or more members of the board, legal counsel, and/or an independent investigator to act on behalf of the board in investigating the conduct of any licensee, or of any applicant for a certificate or permit, or, in the alternative, to appoint a probable-cause committee to investigate that conduct on its behalf, the committee to be comprised of licensees in good standing, as the board determines; and
    4. Issue subpoenas, administer oaths, and summon and examine witnesses in connection with any investigation conducted under authority of this chapter. If a subpoena is disobeyed, the board may invoke the aid of any court of competent jurisdiction in this state to require the attendance and testimony of witnesses and the production of documentary evidence.
  10. The board and its members and agents are immune from personal liability for actions taken in good faith in the discharge of the board’s responsibilities, and the state of Rhode Island shall indemnify the board and those members and agents for, and hold them harmless from, any and all costs, damages, and reasonable attorney’s fees arising from, or related in any way, to claims or actions against them as to matters to which the immunity applies.
  11. The board shall adopt rules and regulations to implement substantial equivalency as set forth in § 5-3.1-7(g) .

History of Section. P.L. 1995, ch. 159, § 2; P.L. 1998, ch. 356, § 1; P.L. 1998, ch. 423, § 1; P.L. 2001, ch. 336, § 1; P.L. 2005, ch. 117, art. 21, § 1; P.L. 2005, ch. 193, § 1; P.L. 2005, ch. 208, § 1; P.L. 2015, ch. 82, § 3; P.L. 2015, ch. 105, § 3.

Compiler’s Notes.

Section 42-35-3 , referred to in this section, was amended by P.L. 2016, ch. 203, § 2, and P.L. 2016, ch. 206, § 2, effective June 29, 2016. Comparable provisions are now found in chapter 35 of title 42.

5-3.1-5. Certified public accountants.

  1. Upon application for a certificate and payment of the required fee, the board shall issue a certificate to any person who:
    1. Is of good moral character;
    2. Has a principal residence in Rhode Island as defined in § 5-3.1-3 or a primary place of employment in Rhode Island;
    3. Has received a baccalaureate degree from a college or university acceptable to the board, the total educational program of which includes an accounting concentration or its equivalent and courses in any related subjects that the board determines to be appropriate; provided, the education requirement for a certificate shall be at least one hundred fifty (150) semester hours of college education, including a baccalaureate or higher degree conferred by a college or university acceptable to the board, the total educational program of which includes an accounting concentration or equivalent as determined by board rule to be appropriate; provided, that a candidate who has not met the one-hundred-fifty-hour (150) education requirement may sit for an examination if the candidate has, at the time of the examination, completed not less than one hundred twenty (120) semester hours of education, provided that such candidate who successfully passes the examination will not be eligible to receive a certificate until the applicant completes the one-hundred-fifty-hour (150) education requirement and the experience requirement;
    4. Has passed examinations in accounting and auditing and any related subjects that the board deems appropriate and specifies by rule;
    5. Has one year of experience in providing any type of service or advice involving the use of accounting, attest, management advisory, financial advisory, tax, or consulting skills, all of which were verified by a licensee, meeting requirements prescribed by the board by rule. This experience would be acceptable if it was gained through employment in government, industry, academia, or public practice. After December 31, 1999, the person must also have completed one hundred fifty (150) hours or received a master’s or doctorate degree in accounting, business administration, or other related curriculum from a college or university recognized by the board; and have satisfactorily completed any number of semester hours in accounting, auditing, and other business courses that are prescribed by board rules and regulations; and
    6. If an out-of-state individual:
      1. Has passed all parts of the uniform certified public accountant examination in another jurisdiction, but has not received a certificate or similar certification in that jurisdiction;
      2. Has established a principal residence in Rhode Island or a primary place of employment in Rhode Island preparatory to seeking a certificate from this state;
      3. Has complied with the longer of:
        1. The experience requirement in the jurisdiction in which the uniform examination was taken; or
        2. The Rhode Island experience requirement;
      4. Has complied with the educational requirements under subsection (a)(3); and
      5. Has satisfactorily complied with any other requirements that the board by rule or regulation reasonably determines to be appropriate.
  2. The board, in its discretion, may accept the educational credits of any person who is a candidate for a certificate if it is satisfied, by appropriate means of evaluation, that the credits are an acceptable substitute for the credit requirements of subsection (a)(3). The board, in its discretion, may waive the residency or primary place of employment requirements relating to the issuance of a certificate as stated in subsections (a)(2) and (a)(6).
  3. The examinations described in subsection (a)(4) are held by the board and shall take place as often as the board determines to be desirable, but in any event not less frequently than once each year. The board shall prescribe by rule the procedures to be followed in applying for and conducting the examinations and the methods to be used in grading the examinations and determining a passing grade. The board may make use of any or all parts of the uniform certified public accountant examination and advisory grading service provided by the American Institute of Certified Public Accountants, and may contract with third parties to perform any administrative services with respect to the examinations that the board deems appropriate to assist it in performing its duties under this section.
  4. The board may, by rule or regulation, provide for the granting of credit to a candidate for the satisfactory completion by the candidate of an examination, in any one or more of the subjects referred to in subsection (a)(4), that is given by the licensing authority in any other state. Any rules and regulations shall include the requirement that any examination approved as a basis for the granting of credit is, in the judgment of the board at the time of the granting of the credit, at least as thorough as the most recent examination given by the board in the subject or subjects tested. The board may also, by rule or regulation, prescribe terms and conditions under which a candidate who passes the examination in one or more of the subjects referred to in subsection (a)(4) may be reexamined in the remaining subjects, with credit given for the subjects previously passed. It also may provide by rule or regulation for a reasonable waiting period for a candidate’s reexamination in a subject previously failed. Subject to the preceding and to any other rules and regulations that the board may adopt governing reexaminations, a candidate is entitled to any number of reexaminations. Except as the board may provide by a rule or regulation in order to prevent what it determines to be undue hardship to candidates, a candidate granted credit for satisfactory examination in any one or more of the subjects referred to in subsection (a)(4) shall have met the educational requirement of subsection (a)(3) or (a)(5) of this section in effect on the date of the examination by which the candidate successfully completes the examination under subsection (a)(4).
  5. The board shall charge each candidate for a certificate a fee for the initial examination under subsection (a), for reexamination under subsection (d) for each subject in which the candidate is reexamined, and for evaluation of a candidate’s educational qualifications under subsection (b). The applicable fee shall be paid by the candidate at the time of application for the examination, reexamination, or evaluation. Fees for examination, reexamination, and evaluation of educational qualifications shall be determined by the board and prescribed in the rules and regulations issued by the board. The liability of the board to a candidate taking an examination or reexamination is limited to the amount of the fee received for the examination.
  6. Persons who on July 1, 1995, hold a certificate issued under the laws of this state prior to that date are not required to obtain an additional certificate under this chapter, but are subject to all the provisions of this chapter; the certificate previously issued is, for all purposes, considered a certificate issued under this chapter and subject to the provisions of this chapter. Reinstatement power is vested in the board as to those certificates suspended or revoked prior to July 1, 1995, and the holder of those certificates may have them reissued upon application for reissuance in accordance with § 5-3.1-15 . Persons holding certificates on July 1, 1995, who are estopped from obtaining a permit under government employment restrictions may apply for a permit under § 5-3.1-7 within one year following termination of that employment, and upon obtaining the permit may engage in the practice of public accounting in this state as a certified public accountant subject to the provisions of this chapter.
    1. The board shall, upon application for a certificate and payment of a fee to be determined by the board and promulgated by rule or regulation, issue a certificate to a holder of a certificate issued by another state, provided that:
      1. The applicant meets all current requirements in this state at the time application is made; and
      2. At the time of the issuance of the applicant’s certificate in the other state, the applicant met all requirements then applicable in this state unless reciprocity is allowed under the substantial equivalency standard in § 5-3.1-7 .
    2. If the holder of a certificate issued by another state meets all current requirements in this state except the educational or experience requirements of this state as prescribed in this section, or passed the examination under different credit provisions then applicable in this state, the board shall issue a certificate to the applicant upon application for the certificate and upon payment of the required fee, provided that: (i) The applicant has four (4) years of experience of the type described in subsection (a)(5) or meets comparable requirements prescribed by the board by rule within the ten (10) years immediately prior to the application; or (ii) The applicant has five (5) years of experience in the practice of public accountancy over a longer or earlier period and has completed fifteen (15) current semester hours of accounting, auditing, and any other related subject that the board specifies by rule, at an accredited institution, and has one year of current experience in the practice of public accountancy.
  7. An applicant for issuance of a certificate under this section shall list in the application all other states in which the applicant has applied for or holds a certificate. Each applicant for or holder of a certificate issued under this section shall, within thirty (30) days of the occurrence of that event, notify the board, in writing, of the issuance, denial, revocation, or suspension of a certificate by any other state, or of the commencement of a disciplinary or enforcement action against the applicant or holder by any other state.
  8. The board may refuse to grant a certificate on the grounds of failure to satisfy the good moral character requirement only if there is a substantial connection between the lack of good moral character of the applicant and the professional responsibilities of a licensee and if the finding by the board of lack of good moral character is supported by clear and convincing evidence. When an applicant is found to be unqualified for a certificate because of lack of good moral character, the board shall furnish the applicant a statement containing the findings of the board, a complete record of the evidence upon which the determination was based, and a notice of the applicant’s right of appeal.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 1998, ch. 80, § 1; P.L. 2001, ch. 249, § 1; P.L. 2001, ch. 336, § 1; P.L. 2007, ch. 225, § 1; P.L. 2007, ch. 238, § 1.

Collateral References.

Constitutionality of discrimination against aliens in legislation relating to licenses. 39 A.L.R. 346.

Construction and application of statutory provisions respecting persons who may prepare tax returns for others. 10 A.L.R.2d 1443.

License, failure of accountant to procure, as affecting validity or enforceability of contracts. 30 A.L.R. 851; 42 A.L.R. 1226; 118 A.L.R. 646.

5-3.1-6. Public accountants.

  1. Persons who on July 1, 1995, hold an authority as a public accountant and a permit issued under the prior laws of this state may continue to engage in the practice of public accounting in this state as public accountants and may subsequently continue to use the designation “PA”; provided, that those persons continue to hold a permit issued under the laws of this state and otherwise remain in compliance with this chapter.
  2. Persons who on July 1, 1995, hold an authority as a public accountant but do not hold a permit issued under the prior laws of this state shall no longer engage in the practice of public accounting as public accountants in this state and shall no longer use the term “public accountant” or the designation “PA”; provided, that the board may reinstate the holder of an authority whose permit has been suspended, revoked, or not renewed prior to July 1, 1995, upon application for reinstatement under § 5-3.1-15 . An application for reinstatement under § 5-3.1-15 shall include evidence of the applicant’s authority to practice as a public accountant in this state prior to July 1, 1995, and any other evidence that the board requires. Upon reinstatement, the applicant may engage in the practice of public accounting in this state as a public accountant, may hold himself or herself out to the public as a public accountant, and may subsequently use the designation “PA”; provided, that the applicant continues to hold a permit issued under the laws of this state and remains in compliance with this chapter. Notwithstanding these provisions, persons holding an authority on July 1, 1995, who are estopped from obtaining a permit under government employment restrictions, may apply for a permit under § 5-3.1-7 within one year following termination of that employment, and upon obtaining that permit may engage in the practice of public accounting in this state as a public accountant subject to the provisions of this chapter.
  3. After July 1, 1995, no person, except a person qualified under subsection (a) or (b) of this section, is entitled to an authority or to be issued a permit to practice, or to be known as or hold himself or herself out to the public as a public accountant, or is entitled to exercise the rights of a public accountant under this chapter.

History of Section. P.L. 1995, ch. 159, § 2.

Collateral References.

Constitutionality or discrimination against aliens in legislation relating to licenses. 39 A.L.R. 346.

Validity, construction, and application of statute or regulation restricting use of terms such as “accountant,” “public accountant,” or “certified public accountant.” 4 A.L.R.4th 1201.

5-3.1-7. Permits for public accountants and certified public accountants.

  1. Annual permits to engage in the practice of public accounting in this state shall be issued by the board, upon application for the permit and payment of the required fee, to certified public accountants qualified under § 5-3.1-5 or eligible under the substantial equivalency standard set out in subsection (g), and to public accountants qualified under § 5-3.1-6 . Effective January 1, 2009, all permits issued by the board shall be valid for a period of three (3) years and shall expire upon the last day of June of the year in which the permit is scheduled to expire. To transition existing licensees to a three-year (3) licensing cycle, the board shall have the authority and discretion in 2008 to issue permits under this section that are valid for one, two (2), or three (3) years. All such permits issued during 2008 shall expire upon the last day of June of the year in which the permit is scheduled to expire. The board’s authority to issue permits valid for one or two (2) years shall cease as of December 31, 2008.
  2. A certified public accountant who holds a permit issued by another state and who desires to practice in this state shall apply for a permit in this state if that person does not qualify for reciprocity under the substantial equivalency standard set out in subsection (g). Upon the date of filing the completed application with the board, the applicant is deemed qualified to practice, and may practice, public accounting in this state pending board review of the application; provided, that the applicant meets all other applicable requirements under this chapter. Submission of the application constitutes the appointment of the secretary of state as an agent for the applicant for service of process in any action or proceeding arising out of any transaction or operation connected with or incidental to the practice of public accounting in this state by the applicant.
  3. Applications for renewal of a permit under this section shall be submitted to the board by February 15 of the year in which the permit is scheduled to expire and shall be accompanied by evidence that the applicant has satisfied the continuing professional education requirements promulgated by board regulation. That evidence shall be in a form that the board requires. Failure to furnish that evidence constitutes grounds for refusal to renew the permit unless the board in its discretion determines that the failure was due to reasonable cause or excusable neglect.
  4. Applications for renewal of a permit under this section shall also identify any practice unit with which the applicant is affiliated. In the event the practice unit fails to comply with § 5-3.1-9 or § 5-3.1-10 , the board may refuse to renew the applicant’s individual permit if the board determines that the applicant was personally and substantially responsible for the failure of the practice unit to meet the requirements of §§ 5-3.1-9 and 5-3.1-10 .
  5. All applicants for a permit under this section shall list in the application all other states in which the applicant has applied for or holds a permit to practice. Each applicant for, or holder of, a permit issued under this section, or any individual who has entered the state under the provisions of substantial equivalency, shall, within thirty (30) days of the occurrence of the event, notify the board in writing:
    1. Of the issuance, denial, revocation, or suspension of any certificate, license, degree, or permit by any other state; or
    2. Of the commencement of any disciplinary or enforcement action against the applicant, holder, or individual by any other state.
  6. Fees for the issuance and renewal of permits under this section shall be established from time to time by the board. In no case shall the three-year (3) renewal fee be less than three hundred seventy-five dollars ($375). The required fee shall be paid by the applicant at the time the application is filed with the board.
  7. Substantial equivalency.
    1. An individual having a valid certificate or license as a certified public accountant from any state whose licensure requirements are determined to be substantially equivalent with the conditions of this section shall have all the privileges of certificate holders and licensees of this state without the need to obtain a certificate or permit from this state under this section as long as the conditions of this section are met. The individual must have one year or more of experience. This experience shall include providing any type of service or advice involving the use of accounting, attest, management advisory, financial advisory, tax, or consulting skills all of which was verified by a licensee, meeting requirements prescribed by the board by rule. This experience is acceptable if it was gained through employment in government, industry, academia, or public practice. Notwithstanding any other provision of law, an individual who offers or renders professional services, whether in person, by mail, telephone, or electronic means, under this section shall be granted practice privileges in this state and no notice or other submission shall be provided by any such individual. Such an individual shall be subject to the requirements in subsection (g)(3). If this individual is responsible for supervising attest services and signs or authorizes another licensee to sign the accountant’s report on the financial statements on behalf of the firm, this individual shall meet the experience requirements set out in the professional standards for such services. If this individual is responsible for signing or authorizing another licensee to sign the accountant’s report on the financial statements on behalf of the firm, this individual shall meet the experience requirements set out in the professional standards for such services. The board may use the NASBA National Qualification Appraisal Service to determine which other states have substantial equivalence with this chapter.
    2. An individual who holds a valid certificate or license as a certified public accountant from any state that the NASBA National Qualification Appraisal Service has not verified to be in substantial equivalence with the CPA licensure requirements of the AICPA/NASBA Uniform Accountancy Act shall be presumed to have qualifications substantially equivalent to this state’s requirements and shall have all the privileges of certificate holders and licenses of this state without the need to obtain a certificate or permit under this section if such individual obtains from the NASBA National Qualification Appraisal Service verification that such individual’s CPA qualifications are substantially equivalent to the CPA licensure requirements of the AICPA/NASBA Uniform Accountancy Act. Any individual who passed the Uniform CPA Examination and holds a valid license issued by any other state prior to January 1, 2012, may be exempt from the education requirement in § 5-3.1-5(a)(3) for purposes of this section.
    3. Any individual licensee of another state exercising the privilege afforded under this section and the CPA firm that employs that licensee hereby simultaneously consents, as a condition of the granting of this privilege:
      1. To the personal and subject-matter jurisdiction and disciplinary authority of the board;
      2. To comply with this chapter and the board’s rules;
      3. That, in the event the certificate or license from the state of the individual’s principal place of business is no longer valid, the individual will cease offering or rendering professional services in this state individually and on behalf of a CPA firm; and
      4. To the appointment of the board that issued their license as their agent upon whom process may be served in any action or proceeding by this board against the licensee.
    4. A licensee of this state offering or rendering services or using their CPA title in another state shall be subject to disciplinary action in this state for an act committed in another state for which the licensee would be subject to discipline for an act committed in the other state.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1; P.L. 2007, ch. 146, § 1; P.L. 2007, ch. 151, § 1; P.L. 2007, ch. 225, § 1; P.L. 2007, ch. 238, § 1; P.L. 2016, ch. 344, § 1; P.L. 2016, ch. 362, § 1.

5-3.1-8. Permits for accountants licensed by foreign countries.

  1. An annual limited permit to engage in the practice of public accounting in this state may be issued by the board, upon application for the permit and payment of the required fee, to any person who is the holder of a certificate, license, or degree from a foreign country constituting a recognized qualification for the practice of public accounting in that country, provided that: (1) The board determines that the requirements for obtaining the certificate, license, or degree are substantially equivalent to those prescribed under this chapter for obtaining a certificate in this state; (2) The certificate, license, or degree at the time of application is then in full force and effect; and (3) The applicant meets all other requirements under this section. In the event the board determines that the requirements for obtaining the certificate, license, or degree are not substantially equivalent to those prescribed in this chapter for obtaining a certificate in this state, the board may require, as a condition to granting a permit under this section, that the applicant pass the written examinations required of candidates for a certificate under § 5-3.1-5(a)(4) . Any permit issued under this section shall be issued in the name of the applicant followed by the recognized accounting designation by which he or she is known in the country where licensed, translated into the English language, followed by the name of the country. Annual limited permits to engage in the practice of public accounting qualify the holder to practice public accounting in this state solely as to matters concerning residents, governments, and corporations or other business entities, including the divisions, subsidiaries, or any affiliates of the business entity, of the foreign country in which the holder is licensed to practice public accounting. A person who is issued a permit under this section, when engaging in the practice of public accounting in this state, shall only use the title under which he or she is generally known in his or her own country, translated into the English language and indicating after the title the name of the country from which he or she received his or her certificate, license, or degree.
  2. All annual limited permits issued under this section shall expire on the last day of June of each year and may be renewed for a period of one year in accordance with subsection (c) of this section. Submission of the application for original issuance or renewal of an annual limited permit constitutes the appointment of the secretary of state as an agent for the applicant for service of process in any action or proceeding arising out of any transaction or operation connected with or incidental to the practice of public accounting in this state by the applicant.
  3. Applications for renewal of an annual limited permit are submitted to the board by February 15 of each year and shall be accompanied by evidence of satisfaction of the continuing professional education requirements promulgated by board regulation. The evidence shall be in any form that the board requires. Failure to furnish the evidence constitutes grounds for refusal to renew the permit unless the board in its discretion determines that the failure was due to reasonable cause or excusable neglect. Notwithstanding the preceding, the board, in its discretion, may waive the above continuing education requirements if:
    1. The licensing authority of the foreign country in which the holder of the annual limited permit is licensed has established requirements for continuing education for practitioners of public accounting;
    2. The applicant has filed with the board an affidavit stating that he or she is in compliance with those continuing education requirements at the time of the application for renewal; and
    3. The board determines that the continuing education requirements are substantially equivalent to those promulgated by the board under this chapter.
  4. An application for a permit under this section shall list all other jurisdictions in which the applicant has applied for or holds a certificate, license, or degree to practice public accountancy or a permit to practice. Each applicant for or holder of a permit under this section shall, within thirty (30) days of the occurrence of the event, notify the board in writing:
    1. Of the issuance, denial, revocation, or suspension of the certificate, license, degree, or permit; or
    2. Of the commencement of any disciplinary or enforcement action against the applicant or holder by any jurisdiction.
  5. An applicant under this section shall also list in the application the address of every office established or maintained in this state for the limited practice of public accounting. All of those offices shall be under the direct supervision of an accountant licensed either by this state or by a foreign country who holds an annual limited permit to practice issued under this section, and shall be designated by the name and title of the accountant. If applicable, the title is translated into the English language and followed by the name of the foreign country where the accountant is licensed. All applicants for or holders of a permit under this section shall notify the board, in writing, within thirty (30) days of the occurrence of the event:
    1. Of any change in the number or location of offices within this state required to be listed in the application; and
    2. Of any change in the identities of the persons supervising those offices.
  6. The board shall charge a fee to each person who makes application for original issuance or renewal of a permit under this section. The fee shall be paid in U.S. currency at the time the application is made. Fees charged under this section shall be established by the board.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1; P.L. 2019, ch. 308, art. 1, § 3.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-3.1-9. Permits for practice units.

  1. Permits to engage in the practice of public accounting in this state as a practice unit shall be issued by the board, upon application therefore and payment of the required fee, to an entity that demonstrates its qualifications in accordance with this chapter or to certified public accounting firms originally licensed in another state that establish an office in this state. A practice unit must hold a permit issued under this section in order to provide attest and compilation services as defined or to use the title “CPAs” or “CPA firm.” An applicant entity for initial issuance or renewal of a permit to practice under this section shall be required to register each office of the firm within this state with the board and to show that all attest and compilation services as defined in this chapter rendered in this state are under the charge of a person holding a valid certificate issued under this chapter, or the corresponding provision of prior law or some other state.
  2. An entity shall satisfy the following requirements:
    1. For corporations, general partnerships, joint ventures, limited-liability partnerships, and limited-liability companies:
      1. The principal purpose and business of the partnership must be to furnish public accounting services to the public not inconsistent with this chapter and the rules and regulations of the board;
      2. A majority of the ownership of the entity, in terms of financial interests and voting rights of all partners, shareholders, or members, belongs to holders of a certificate who shall hold a certificate and a permit from some state, and such partners, shareholders, or members, whose principal place of business is in this state and who perform professional services in this state, hold a valid permit issued under this chapter or are public accountants registered under § 5-3.1-7 . Although firms may include non-licensee owners, the firm and its ownership and all parties must comply with rules promulgated by the board. For firms of public accountants, a majority of the ownership of the firm, in terms of financial interests and voting rights, must belong to holders of permits under § 5-3.1-7 , and provided, that any such entity, as defined by this subsection, may include non-licensee owners, provided that:
        1. The entity designates a licensee of this state who is responsible for the proper registration of the firm and identifies that individual to the board;
        2. All non-licensee owners are active individual participants in the entity;
        3. The entity complies with other requirements as the board may impose by rule;
        4. Any individual licensee who is responsible for supervising attest and compilation services and signs or authorizes another licensee to sign the accountant’s report on the financial statements on behalf of the firm, shall meet the experience requirements as set out in professional standards for such services;
        5. Any individual licensee who signs or authorizes another licensee to sign the accountant’s report on the financial statements on behalf of the firm shall meet the experience requirement as set out in professional standards for these services;
      3. At least one partner, shareholder, or member must be a certified public accountant or a public accountant holding a certificate or authority under this chapter and a permit to practice in this state under § 5-3.1-7; and
      4. The address of every office of the entity located in this state must be listed in the application for the permit.
      5. Any individual licensee who signs or authorizes another licensee to sign the accountant’s report on the financial statements on behalf of the firm shall meet the experience requirement as set out in professional standards for these services.
    2. For a sole proprietorship: (i) The principal purpose and business of the sole proprietorship must be to furnish public accounting services to the public not inconsistent with this chapter and the rules and regulations of the board; (ii) The sole proprietor must be a certified public accountant or a public accountant holding a certificate or authority under this chapter and a permit to practice in this state under § 5-3.1-7; (iii) The address of every office of the sole proprietorship located in this state must be listed in the application for the permit; (iv) Any individual licensee who is responsible for supervising attest and compilation services and signs or authorizes another licensee to sign the accountant’s report on the financial statements on behalf of the sole proprietor shall meet the experience requirements as set out in professional standards for these services; and
  3. Application for a permit under this section must be made upon the affidavit of the partner, shareholder, member, or sole proprietor who holds a permit to practice in this state under § 5-3.1-7 as a certified public accountant or a public accountant. All applications for a permit under this section must include, in addition to any other information required by this chapter or by rule or regulation of the board to be stated in the application, a list of all other states in which the entity has applied for or holds a permit. Upon receipt of the application, the board shall determine whether the entity is eligible for a permit. In the event the board determines the entity is ineligible for a permit under this section, that determination shall be stated in writing and delivered to the applicant at the address that is stated in the application.
  4. All applicants for, or holders of, a permit under this section shall notify the board in writing within thirty (30) days of the occurrence of the event:
    1. Of any change in the identities of the partners, officers, directors, or shareholders who are personally engaged in this state in the practice of public accounting;
    2. Of any change in the number or location of offices within this state required to be listed in the application pursuant to this section;
    3. Of any change in the identities of the persons supervising the offices;
    4. Of any issuance, denial, revocation, or suspension of a permit by any other state. The board may prescribe fees that are to be paid by the applicants or holders upon the notification; and
    5. Of a reduction below a majority of the ownership in the entity in terms of financial interests and voting rights.
  5. All permits issued by the board under this section subsequent to January 1, 2009, shall be valid for a period of three (3) years and shall expire on the last day of June of the year in which the permit is scheduled to expire unless the permit is renewed in accordance with the provisions of this section. To transition existing licensees to a three-year (3) licensing cycle, the board shall have the authority and discretion in 2008 to issue permits under this section that are valid for one, two (2), or three (3) years. All permits issued during 2008 shall expire upon the last day of June of the year in which the permit is scheduled to expire. The board’s authority to issue permits valid for one or two (2) years shall cease as of December 31, 2008.Effective January 1, 2009, permits issued pursuant to this section may be renewed for a period of three (3) years, and the renewed permit shall expire on the last day of June of the year in which the renewed permit is scheduled to expire, unless the renewed permit is again renewed by its holder. All applications for renewal of permits under this section shall be submitted to the board by February 15 of the year in which a permit or renewed permit is scheduled to expire. All applicants for permit renewal shall satisfy the peer-review requirements prescribed in § 5-3.1-10 .
  6. Fees to be paid upon application for initial issuance or renewal of a permit under this section shall be established, from time to time, by the board. Fees shall be paid at the time the application is filed with the board.
  7. An annual permit to engage in the practice of public accounting in this state shall be issued by the board, upon application for it and payment of the required fee, to the office of the auditor general, provided the office is in compliance with § 5-3.1-10 .
  8. An entity that falls out of compliance with the provisions of this section due to changes in firm ownership or personnel, after receiving or renewing a permit, shall take corrective action to bring the firm into compliance as quickly as possible. The board may grant a reasonable period of time for a firm to take the corrective action. Failure to bring the firm into compliance within a reasonable period as defined by the board will result in the suspension or revocation of the permit.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1; P.L. 2007, ch. 146, § 1; P.L. 2007, ch. 151, § 1; P.L. 2009, ch. 310, § 23; P.L. 2016, ch. 344, § 1; P.L. 2016, ch. 362, § 1; P.L. 2019, ch. 308, art. 1, § 3.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-3.1-10. Peer reviews.

  1. The board shall require, as a condition to the renewal of permits for practice units under § 5-3.1-9 , that applicants undergo peer reviews conducted no more frequently than once every three (3) years in any manner and with any satisfactory result that the board specifies. The review shall include verification that the individuals in the firm who are responsible for supervising attest and compilation services and signing or authorizing someone to sign the accountant’s report on the financial statements on behalf of the firm meet competency requirements set out in the professional standards for such services. Any requirements established by the board regarding peer reviews shall:
    1. Be promulgated reasonably in advance of the time when it must first be met; and
    2. Provide for compliance by an applicant upon the showing that it has undergone a satisfactory peer review performed for other purposes, such as those performed by the American Institute of Certified Public Accountants in connection with its peer-review programs, which was substantially equivalent to the review required under this subsection, and that this review was completed within the three (3) years immediately preceding the renewal period.
  2. The proceedings, records, and work papers of a peer-review committee appointed by the board for the purpose of conducting peer reviews under this section shall be privileged and shall not be subject to discovery, subpoena, or other means of legal process or introduction into evidence in any civil action, arbitration, administrative proceeding, or state accountancy board proceeding. No member of the peer-review committee or other person involved in the peer-review process shall be permitted or required to testify in the civil action, arbitration, administrative proceeding, or state accountancy board proceeding as to any matters produced, presented, disclosed, or discussed during or in connection with the peer-review process, or as to any findings, recommendations, evaluations, opinions, or other actions of the committees or any members of the committees. Information, documents, or records that are publicly available shall not be construed as immune from discovery or use in civil actions, arbitration proceedings, administrative proceedings, or state accountancy board proceedings merely because they were presented or considered in connection with the peer-review process. The privilege created by this statute also does not apply to materials prepared in connection with a particular engagement merely because they are subsequently presented or considered as part of the peer-review process; nor does it apply to disputes between review committees and practice units subject to a peer review arising from the performance of the review. The privilege similarly does not apply, notwithstanding any provision in this section to the contrary, to the board or its members, who, so long as they are acting in their official capacities, have access to any and all records, reports, work papers, and other documents and materials that may at any time have been in the possession of or prepared by a peer-review committee during the performance of its duties.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1; P.L. 2019, ch. 308, art. 1, § 3.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-3.1-11. Hearing on denial by board.

Any person or practice unit aggrieved by a decision of the board not to: (1) issue a certificate under § 5-3.1-5 , (2) issue a permit to practice under § 5-3.1-7 , § 5-3.1-8 , or § 5-3.1-9 , or (3) renew any permit, as the case may be, may request a hearing before the board on the denial. The request shall be in the form of a written petition, containing any information that the board by rule or regulation requires, and shall be submitted to the board within ten (10) days of the board’s written decision denying the certificate, permit, or renewal.

History of Section. P.L. 1995, ch. 159, § 2.

5-3.1-12. Revocation or suspension of certificate, authority, or permit.

  1. After notice and a hearing as provided in § 5-3.1-14 , the board may:
    1. Suspend or revoke any certificate issued under § 5-3.1-5 , or any predecessor provision, and any authority as a public accountant issued under the prior laws of this state;
    2. Revoke or suspend any permit issued under § 5-3.1-7 , § 5-3.1-8 , § 5-3.1-9 , or their predecessor provisions; and
    3. Reprimand or censure in writing; limit the scope of practice; impose an administrative fine upon, not to exceed one thousand dollars ($1,000); or place on probation, all with or without terms, conditions, or limitations, a licensee, for any of the causes specified in subsection (b).
  2. The board may take action specified in subsection (a) for any one or more of the following causes:
    1. Fraud or deceit in obtaining a certificate or permit under this chapter;
    2. Dishonesty, fraud, or gross negligence in the practice of public accounting or in the filing, or failing to file, the licensee’s own income tax returns;
    3. Violation of any of the provisions of this chapter;
    4. Violation of any rules and regulations, including, but not limited to, any rules of professional conduct promulgated by the board under the authority granted by this chapter;
    5. Conviction of, or pleading guilty or nolo contendere to, a crime or an act constituting a crime of forgery, embezzlement, obtaining money under false pretenses, bribery, larceny, extortion, conspiracy to defraud, misappropriation of funds, tax evasion, or any other similar offense, in a court of competent jurisdiction of this or any other state or in federal court;
    6. Cancellation, revocation, or suspension of, or refusal to renew, the licensee’s certificate or permit from another state by the other state for any cause other than failure to pay a fee or to meet the requirements of continuing education in that other state;
    7. Suspension or revocation of the right to practice public accounting before any state or federal agency;
    8. As to accountants licensed by foreign countries, cancellation, revocation, suspension, or refusal to renew the person’s certificate, license, or degree evidencing his or her qualification to practice public accounting by the foreign country issuing the certificate, license, or degree, the certificate, license, or degree having qualified the accountant for issuance of an annual limited permit to practice under § 5-3.1-8 ;
    9. Failure to furnish the board, or any persons acting on behalf of the board, any information that is legally requested by the board;
    10. Any conduct reflecting adversely upon the licensee’s fitness to engage in the practice of public accountancy; and
    11. Any other conduct discreditable to the public accounting profession.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 1999, ch. 354, § 2; P.L. 2016, ch. 344, § 1; P.L. 2016, ch. 362, § 1; P.L. 2016, ch. 376, § 1; P.L. 2016, ch. 392, § 1; P.L. 2021, ch. 400, § 1, effective July 13, 2021; P.L. 2021, ch. 401, § 1, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 1, and P.L. 2021, ch. 401, § 1 enacted identical amendments to this section.

Collateral References.

Accountant’s malpractice liability to client. 92 A.L.R.3d 396.

Bias of members of license revocation board. 97 A.L.R.2d 1210.

Disciplinary action against attorney or accountant for misconduct related to preparation of tax returns for others. 81 A.L.R.3d 1140.

Liability of independent accountant to investors or shareholders. 48 A.L.R.5th 389.

5-3.1-13. Revocation or suspension of practice unit permit.

After notice and a hearing as provided in § 5-3.1-14 , the board may revoke or suspend the permit of any practice unit issued under § 5-3.1-9 if at any time the practice unit fails to meet all the qualifications prescribed under § 5-3.1-9 . After notice and a hearing as provided in § 5-3.1-14 , the board may revoke or suspend the permit of a practice unit issued under § 5-3.1-9, and may censure in writing; limit the scope of practice; impose an administrative fine upon, not to exceed one thousand dollars ($1,000); or place on probation, all with or without terms, conditions, or limitations, the holder of the permit, for any cause enumerated in § 5-3.1-12 and for any of the following additional causes:

  1. With respect to any type of partnership and corporate practice units, the revocation or suspension of the certificate or authority of, or the revocation, suspension, or refusal by the board to renew the permit of, any partner, shareholder, or member of the partnership or corporate practice units; and
  2. Cancellation, revocation, suspension, or refusal to renew the permit of the practice unit, or of any partner, shareholder, or member or of the sole proprietor, to practice public accounting in any other state by that state for any cause other than failure to pay a fee or to meet the requirements of continuing education in that other state.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1.

5-3.1-14. Initiation of proceedings — Hearings before board — Appeals — Notice to other states.

  1. The board may initiate proceedings under this chapter against a licensee either on its own motion, on the complaint of any person, upon the finding of probable cause by a probable-cause committee appointed by the board pursuant to § 5-3.1-4 , or upon receiving notification from another state board of accountancy of its decision to:
    1. Revoke, suspend, or refuse to renew the practice privileges granted in that state to the licensee; or
    2. Censure in writing, limit the scope of practice, impose an administrative fine upon, or place on probation the licensee.
  2. 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.
  3. 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 an order that is justified by the evidence. That order is final unless the licensee petitions for a review of it as provided in this chapter; provided, that within thirty (30) days from the date of any order, 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 its behalf.
    1. At any hearing under this section, the licensee may:
      1. Appear in person or be represented by counsel;
      2. Produce evidence and witnesses on his, her, or its behalf;
      3. Cross-examine witnesses; and
      4. Examine any evidence that is produced.
    2. A partnership may be represented before the board by counsel or by any partner. A corporation may be represented before the board by counsel or by any shareholder or member of the corporation. A sole proprietorship may be represented before the board by counsel or by the sole proprietor. The licensee is entitled, on written application to the board, to the issuance of subpoenas to compel the attendance of witnesses on the licensee’s behalf.
  4. The board or any member of the board may issue subpoenas to compel the attendance of witnesses and the production of documents, and may administer oaths, take testimony, hear proofs, and receive exhibits in evidence in connection with or upon a hearing under this chapter. In case of disobedience to a subpoena, the board may petition the superior court to require the attendance and testimony of witnesses and the production of documentary evidence.
  5. The board shall not be bound by strict rules of procedure or by the laws of evidence in the conduct of its proceedings, but any determination of the board shall be based upon sufficient legal evidence to sustain the determination.
  6. A stenographic record of all hearings under this section shall be kept and a transcript filed with the board.
  7. At all hearings, the attorney general of this state, or any other legal counsel that is employed, shall appear and represent the board.
  8. The decision of the board shall be made by vote in accordance with rules and regulations established under § 5-3.1-4 .
  9. Any appeal from the decision of the board, by a person or persons adversely affected by the decision, shall be governed by § 42-35-15 .
  10. On rendering a decision to: (1) Revoke or suspend a certificate issued under the laws of this state; (2) Revoke or suspend an authority as a public accountant issued under the prior laws of this state; (3) Revoke, suspend, or refuse to renew a permit issued under the laws of this state; or (4) Censure in writing, limit the scope of practice of, impose an administrative fine upon, or place on probation a licensee, the board shall examine its records to determine whether the licensee holds a certificate or a permit to practice in any other state. If the board determines that the licensee in fact holds a certificate or permit, the board shall immediately notify the board of accountancy of the other state by mail of its decision under this section, and shall include in the notice an indication as to whether or not the licensee has appealed that decision.
  11. The board may, in its discretion, order any licensee against whom proceedings have been initiated under § 5-3.1-12 or § 5-3.1-13 to reimburse the board for any fees, expenses, and costs incurred by the board in connection with those proceedings, including attorney’s fees. Those fees shall be paid within thirty (30) days from the date they are assessed and may be reviewed in accordance with § 42-35-15 .

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1.

5-3.1-15. Reinstatement.

  1. Upon application in writing or after hearing pursuant to notice, the board may:
    1. Reissue a certificate to a certified public accountant whose certificate has been revoked or suspended;
    2. Reissue an authority to a public accountant whose authority has been revoked or suspended; and
    3. Modify the suspension of or reissue any permit that has been revoked or suspended or that the board has previously refused to renew.
  2. The board shall specify by rule the manner in which applications under this section are made; the time within which they are made; and the circumstances in which hearings will be held on the applications.

History of Section. P.L. 1995, ch. 159, § 2.

5-3.1-16. Acts declared unlawful.

  1. Except as permitted by the board pursuant to § 5-3.1-18(b) , no person shall hold himself or herself out to the public as a certified public accountant or assume or use the designation “certified public accountant” or “CPA” or any other title, designation, words, letters, abbreviation, sign, card, or device tending to indicate that the person is a certified public accountant or CPA, unless that person has been issued a permit to practice under § 5-3.1-7 .
  2. No entity shall provide attest or compilation services or assume or use the designation “certified public accountants” or “CPAs” or any other title, designation, words, letters, abbreviation, sign, card, or device tending to indicate that the practice unit is composed of certified public accountants or CPAs, unless:
    1. The practice unit holds a permit to practice under § 5-3.1-9 ;
    2. Ownership of the firm is in accord with this chapter and rules promulgated by the board.
  3. No person shall hold himself or herself out to the public as a public accountant, or assume or use the designation “public accountant” or “PA” or any other title, designation, words, letters, abbreviation, sign, card, or device tending to indicate that the person is a public accountant or PA, unless that person holds an authority as a public accountant and a permit to practice in this state issued under § 5-3.1-7 . This subsection does not apply to those persons qualified under subsection (a) of this section to hold themselves out to the public as certified public accountants and to use the designation “certified public accountant” or “CPA.”
  4. No entity shall provide attest or compilation services or assume or use the designation “public accountants” or “PAs” or any other title, designation, words, letters, abbreviation, sign, card, or device tending to indicate that the practice unit is composed of public accountants or PAs, unless the practice unit holds a permit to practice under § 5-3.1-9 .
  5. No person or entity not holding a valid permit shall assume or use the title or designation “certified accountant,” “chartered accountant,” “enrolled accountant,” “licensed accountant,” “registered accountant,” “accredited accountant,” or any other title or designation likely to be confused with “certified public accountant” or “public accountant,” any of the abbreviations “CA,” “RA,” “LA,” “AA,” or similar abbreviation likely to be confused with “CPA” or “PA”; provided, that anyone who holds a permit to practice under § 5-3.1-7 may hold himself or herself out to the public as an “accountant” or “auditor.” The title “Enrolled Agent” or the abbreviation “EA” may only be used by those individuals so designated by the Internal Revenue Service. In addition, the board may at its discretion allow titles or abbreviations to be used that do not mislead the public and for which appropriate certification or accreditation by a national organization can be demonstrated.
  6. No person or entity shall prepare or attempt to prepare, or sign, affix, or associate the person’s or entity’s name or any trade name used by him, her, or it in the person’s or entity’s business or profession or practice unit to any attest or compilation reports unless the individual holds a permit to practice under § 5-3.1-7 or § 5-3.1-8 , and unless the practice unit holds a permit to practice under § 5-3.1-9 .
  7. No person or entity not holding a permit to practice under this chapter shall hold himself, herself, or itself out to the public as an “accountant” or “auditor,” whether or not the term is accompanied by any other description or designation, on any sign, card, or letterhead, or in any advertisement or directory.
  8. No person holding a permit shall assume or use a professional or firm name or designation that is misleading about the legal form of the firm, or the persons who are partners, officers, members, managers, or shareholders of the firm, or about any other matter; provided, however, that names of one or more former partners, members, managers, or shareholders may be included in the name of a firm or its successor.
  9. No person or entity shall hold himself, herself, or itself out to the public as being qualified for the practice of public accounting unless the person or entity holds a permit to practice under this chapter.
  10. The provisions of subsections (a), (c), and (e) of this section do not prohibit any accountant licensed by a foreign country who holds an annual limited permit to engage in the practice of public accounting under § 5-3.1-8 from using the accounting designation by which he or she is known in his or her own country, translated into the English language, followed by the name of the country from which his or her certificate, license, or degree was issued, as required by § 5-3.1-8 .
  11. Any person or practice unit found to have violated any provision of this section by a court of competent jurisdiction is liable to the board for reasonable attorney’s fees in connection with the proceeding in which the finding was made.
    1. A licensee, practice unit, or affiliated entity shall not directly or indirectly for a commission, recommend or refer to a client any product or service, or for a commission, recommend or refer any product or service to be supplied by a client, or receive a commission, when the licensee, practice unit, or affiliated entity also performs for that client any attest or compilation services or reports. This prohibition applies during the period in which the licensee or practice unit or affiliated entity is engaged to perform any services listed above and the period covered by any historical financial statements involved in such listed services.
    2. A licensee, practice unit, or affiliated entity who or that is not prohibited by this section from performing services for or receiving a commission, and who is paid or expects to be paid a commission, shall disclose that fact to any person or entity to whom the licensee, practice unit, or affiliated entity recommends or refers a product or service to which the commission relates. The disclosure must be made in writing contemporaneously with or prior to the referral or recommendation.
    3. Any licensee, practice unit, or affiliated entity who or that accepts a referral fee for recommending or referring any service of a licensee to any person or entity or who pays a referral fee to obtain a client shall disclose the acceptance or payment to the client. The disclosure must be made, in writing, contemporaneously with or prior to the referral or recommendation.
    4. For purposes of this subsection (l), an “affiliated entity” is defined as an entity in which the licensee, and/or any member and/or employee of the practice unit, has more than an aggregate twenty percent (20%) direct or indirect financial interest.
    5. A licensee or practice unit in public practice who or that is not prohibited by this section from performing service for or receiving a commission shall comply with all applicable federal and state securities laws, rules promulgated thereunder, and registration requirements.
    1. A licensee, practice unit, or affiliated entity shall not: perform for a contingent fee any professional services for, or receive such a fee from, a client for whom the licensee or practice unit performs any attest or compilation services or reports; or prepare an original or amended tax return or claim for a tax refund for a contingent fee for any client.
    2. The prohibitions in subsection (l)(1) apply during the period in which the licensee is engaged to perform any of the services listed above and the period covered by any historical financial statements involved in any such listed services.
    3. Except as stated in the next sentence, a “contingent fee” is a fee established for the performance of any service pursuant to an arrangement in which no fee will be charged unless a specified finding or result is attained, or in which the amount of the fee is otherwise dependent upon the finding or result of such service. Solely for purposes of this section, fees are not regarded as being contingent if fixed by courts or other public authorities, or, in tax matters, if determined based on the results of judicial proceedings or the findings of governmental agencies. A licensee’s fees may vary depending, for example, on the complexity of services rendered.
    4. For purposes of this subsection (m), an “affiliated entity” is defined as any entity in which the licensee, or any member or employee of the practice unit, has more than an aggregate twenty percent (20%) direct or indirect financial interest.
    5. Any licensee who receives a contingent fee pursuant to this section shall comply with all applicable federal and state securities laws, rules promulgated thereunder, and registration requirements.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 87, § 1; P.L. 2001, ch. 336, § 1; P.L. 2009, ch. 310, § 23.

Collateral References.

Application of statute of limitations to actions for breach of duty in performing services of public accountant. 7 A.L.R.5th 852.

Failure to obtain occupational or business license as defense to tort action. 13 A.L.R.2d 157.

Liability of independent accountant to investors or shareholders. 48 A.L.R.5th 389.

License, failure of accountant to procure, as affecting validity or enforceability of contracts. 4 A.L.R. 1087; 30 A.L.R. 834; 42 A.L.R. 1226; 118 A.L.R. 646.

5-3.1-17. Other activities.

In addition to the activities set out in § 5-3.1-3(13) , a licensee may engage in one or more kinds of management, advisory, or consulting services, and in the preparation of tax returns and the furnishing of advice on tax matters.

History of Section. P.L. 1995, ch. 159, § 2.

5-3.1-18. Exceptions — Acts not prohibited.

  1. Nothing contained in this chapter shall be construed as prohibiting any person not a certified public accountant or public accountant from serving as an employee of or an assistant to a licensee; provided, that the employee or assistant shall not issue any accounting or financial statement or report over his or her name.
  2. Nothing contained in this chapter shall be construed as prohibiting any person who is the holder of a certificate or permit issued by this state or any other state that has not been revoked or suspended by the board or board of accountancy of the other state from assuming or using the designation “certified public accountant” or “CPA” or any other title, designation, words, letters, sign, card, or device tending to indicate that the person is a certified public accountant; provided, that the provisions of this subsection shall not be construed to authorize the use of those designations in connection with the practice of public accounting in this state unless the person using the designations holds a permit to practice issued by the board.
  3. Nothing contained in this chapter or in any other law of this state shall be construed as prohibiting a licensee or any employee of a licensee from disclosing any information in confidence to other licensees engaged in conducting peer reviews, or any of their employees or agents, in connection with peer reviews that are conducted under the auspices of a recognized professional association or under this chapter.
  4. Nothing contained in this chapter or in any other law of this state shall be construed as prohibiting a licensee or any employee of a licensee from disclosing any information in confidence to any employee, representative, officer, or committee member of a recognized professional association or to the board or any of its employees or committees in connection with a professional ethics investigation held under the auspices of the professional association or the board.
  5. The provisions of § 5-3.1-16(f) and (g) do not prohibit any officer, employee, partner, or principal of any entity from affixing his or her signature to any statement or report in reference to the affairs of that entity with any wording designating the position, title, or office that he or she holds in that entity, or from describing himself or herself by the position, title, or office that he or she holds in the entity; nor do those provisions prohibit any act of a public official or a public employee in the performance of his or her duties as a public official or public employee.
  6. Nothing contained in this chapter shall be construed as prohibiting any person or entity not holding a permit under this chapter from offering or rendering to the public bookkeeping services, including devising and installing systems; recording and presentation of financial information or data; preparing financial statements or similar services; preparation of tax returns; or the furnishing of advice on tax matters; provided, that no person or entity shall perform a report on any attest or compilation services nor shall any person or entity attempt to prepare or prepare a report in any manner having the appearance or import of any attest or compilation report enumerated in this subsection so as to mislead the public.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1.

5-3.1-19. Injunction against unlawful acts.

Whenever, in the judgment of the board, any person or entity has engaged, or is about to engage, in any acts or practices that constitute, or will constitute, a violation of this chapter, the board may make application to the superior court for an order enjoining those acts or practices. Upon a showing by the board that the person or entity has engaged, or is about to engage, in any of those acts or practices, an injunction, restraining order, or any other order that may be appropriate shall be granted by the court without bond. In any instance of the granting of an injunction or order by the superior court under this section, the court shall award the board reasonable attorney’s fees.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1.

Collateral References.

Application of statute of limitations to actions for breach of duty in performing services of public accountant. 7 A.L.R.5th 852.

5-3.1-20. Penalty for violations.

  1. Any person or entity who or that violates any provision of this chapter shall be guilty of a misdemeanor, and upon conviction, shall be subject to:
    1. In the case of an individual, a fine of not more than one thousand dollars ($1,000), or imprisonment for not more than one year, or both; or
    2. In the case of an entity, a fine of not more than five thousand dollars ($5,000).
  2. Whenever the board has reason to believe that any person or entity is liable to punishment under this section, it may certify the facts to the attorney general of this state who may, in his or her discretion, cause appropriate proceedings to be brought.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1.

5-3.1-21. Use of card, sign, or advertisement as evidence — Single act sufficient evidence.

The display or presentation of a card, sign, advertisement, or other printed, engraved, or written instrument or device bearing a person’s or entity’s name in conjunction with the words “certified public accountant,” “certified public accountants,” “public accountant,” or “public accountants,” or any abbreviation of those words, except as permitted by this chapter, is prima facie evidence in any action brought under § 5-3.1-19 or § 5-3.1-20 that the person or entity whose name is displayed caused or procured the display or presentation of that card, sign, advertisement, or other printed, engraved, or written instrument or device and that the person or entity is holding himself, herself, or itself out to the public as a certified public accountant or public accountant, or as a practice unit composed of certified public accountants and/or public accountants. In that action, evidence of the commission of a single act prohibited by this chapter is sufficient to justify an injunction, and a conviction need not be established for that purpose.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1; P.L. 2019, ch. 308, art. 1, § 3.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-3.1-22. Ownership of accountants’ working papers.

All statements, records, schedules, working papers, memoranda, and any other data, including, but not limited to, a data bank, that are retained by a practice unit incident to or in the course of professional services rendered to clients, except reports submitted by the practice unit to a client, are and remain the property of that practice unit in the absence of an express agreement to the contrary between the practice unit and the client. No statement, record, schedule, working paper, memorandum, or other data shall be sold, transferred, or bequeathed, without the written consent of the client or his, her, or its personal representative or assignee, to anyone or any entity other than, in the case of a partnership or corporation, one or more of its surviving partners, shareholders, new partners, or new shareholders, or any organization resulting from the combination or merger of the practice unit, or any other successor in interest to the practice unit.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1.

5-3.1-23. Confidential communications.

  1. No licensee or any employee of a licensee, including, but not limited to, clerks, paraprofessionals, and students under work-study programs on a paid or pro bono basis, shall disclose any confidential information obtained in the course of a professional engagement except with the written consent of the client or former client, or as disclosure of confidential information is permitted by subsection (c) or (d) of § 5-3.1-18 in connection with peer reviews or board investigations.
  2. This section shall not be construed as limiting the authority of this state or of the United States or of an agency or court of this state or of the United States to subpoena and use the confidential information in connection with any investigation, public hearing, or other proceeding. Nor shall this section be construed as prohibiting a certified public accountant or public accountant whose professional competence has been challenged in a court of law or before an administrative agency from disclosing confidential information as part of a defense to the court action or administrative proceeding.

History of Section. P.L. 1995, ch. 159, § 2.

Collateral References.

Privileged Communications Between Accountant and Client — General Principles, Evidentiary Considerations, and Attorney-Client Privilege Implications. 26 A.L.R.7th Art. 3 (2018).

5-3.1-24. Construction.

If any provision of this chapter or the application of this chapter to anyone or to any circumstance is held invalid, the remainder of this chapter, or the application of that provision to others or other circumstances shall not be affected.

History of Section. P.L. 1995, ch. 159, § 2.

5-3.1-25. Repeal provisions — Effect of prior laws, rules, and regulations.

All other acts or parts of acts in conflict with this chapter are repealed; provided, that nothing contained in this chapter invalidates or affects any action taken under any law in effect prior to January 1, 2000; nor does it invalidate or affect any proceeding instituted under that law before January 1, 2000; nor does it invalidate the rules and regulations promulgated by the Rhode Island board of accountancy under the prior law, the rules and regulations (to the extent they are not inconsistent with the provisions of this chapter) to remain in full force and effect until new rules and regulations are promulgated by the board.

History of Section. P.L. 1995, ch. 159, § 2; P.L. 2001, ch. 336, § 1.

Chapter 4 Coal and Coke Dealers

5-4-1. License required.

It is unlawful for any person, firm, or corporation to sell or offer for sale in the state any quantities of coal or coke that exceed one thousand pounds (1,000 lbs.) without first obtaining a license from the director of labor and training as provided in § 5-4-2 .

History of Section. P.L. 1923, ch. 483, § 4; G.L. 1938, ch. 367, §§ 1, 4; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-1 ; P.L. 1998, ch. 317, § 1.

Cross References.

Functions of department of labor and training, § 42-16.1-1 et seq.

Collateral References.

License tax, discrimination in. 99 A.L.R. 706.

5-4-2. Coal and coke license.

The director of labor and training may issue a coal and coke license for wholesale or retail authorizing the licensee or his or her agents or servants to sell and deliver or distribute coal or coke in quantities of more than one thousand pounds (1,000 lbs.) in any part of the state at wholesale or retail. The fee for this license shall be forty dollars ($40.00) for one yard office and one main office operated by the licensee and twenty dollars ($20.00) additional for each branch office or each added yard or yard office operated by the licensee. Every applicant for a license of this class shall furnish the director of labor and training with satisfactory evidence of the possession of or access to proper facilities for weighing and distributing coal or coke.

History of Section. P.L. 1923, ch. 483, §§ 4, 5; P.L. 1928, ch. 1212, § 1; G.L. 1938, ch. 367, §§ 2, 4, 5; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-2 ; P.L. 1998, ch. 317, § 1.

5-4-3. Issuance date and duration of licenses.

The license as provided in § 5-4-2 shall be issued as of the first day of December of each year and shall continue in full force and effect for one year, unless revoked by the director of labor and training as subsequently provided in this chapter, and may be renewed upon payment of the prescribed fee.

History of Section. G.L. 1938, ch. 367, § 3; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-3 ; P.L. 1998, ch. 317, § 1.

Cross References.

Veteran’s certificate, renewal on discharge, § 30-20-1 .

5-4-4. Disposition of licensing fees.

All moneys received for licenses by the director of labor and training under the provisions of this chapter shall be turned over to the general treasurer for the use of the state.

History of Section. P.L. 1923, ch. 483, § 8; G.L. 1938, ch. 367, §§ 4, 8; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-4 .

5-4-5. Records of licenses.

The director of labor and training shall keep a record of all licenses granted by him or her under the provisions of this chapter with the number of each; the name; residence and business address of the licensee; and the cities and towns for which each license is issued. Those records are open at all times to public inspection.

History of Section. P.L. 1923, ch. 483, § 6; G.L. 1938, ch. 367, §§ 5, 6; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-5 .

5-4-6. Sale by weight — Standards for ton.

All coal or coke sold or offered for sale by any licensee shall be sold by weight. Two thousand pounds (2,000 lbs.) avoirdupois shall be the standard of weight for the net ton, and two thousand two hundred forty pounds (2,240 lbs.) avoirdupois shall be the standard weight for the gross ton.

History of Section. P.L. 1923, ch. 483, § 1; G.L. 1938, ch. 367, §§ 1, 6; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-6 .

5-4-7. Sale in units of less than 100 pounds.

Coal and coke of one hundred pounds (100 lbs.) or less per unit shall be sold in bags, baskets, or other vessels or receptacles; provided, that coal or coke shall not be sold or offered for sale in bags, baskets, vessels, or receptacles in units of less than eighteen pounds (18 lbs.). Those bags, baskets, vessels, or receptacles must be plainly marked in solid letters of not less than three-fourths (3/4) of one inch in height, stating on them the weight of coal or coke that they contain and the name and address of the dealer putting up the coal or coke, together with the size and kind.

History of Section. P.L. 1923, ch. 483, § 1; G.L. 1938, ch. 367, §§ 1, 6; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-7 .

5-4-8. Statement accompanying deliveries of more than 100 pounds.

A statement upon a form approved by, and a copy of which shall be filed with, the director of labor and training, signed by the seller or the seller’s agent stating the seller’s name and business address; the name and address of the purchaser; the date of delivery; and the kind, size, and weight of the coal or coke, shall accompany the delivery of any coal or coke sold to consumers in the state in quantities in excess of one hundred pounds (100 lbs.) and shall be given to the purchaser or purchaser’s agent upon delivery of the coal or coke.

History of Section. P.L. 1923, ch. 483, § 1; G.L. 1938, ch. 367, §§ 1, 6; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-8 .

5-4-9. Marking of vehicles — Display of license.

Every vehicle used by a licensee or other person in connection with the sale or delivery of coal or coke in this state shall be marked in any manner that the director of labor and training requires, and each licensee shall display his or her license in a conspicuous place and manner at his or her principal place of business.

History of Section. P.L. 1923, ch. 483, § 4; G.L. 1938, ch. 367, §§ 4, 6; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-9 .

5-4-10. Director’s power to check weight of deliveries.

Whenever in this state coal or coke is being transported by a licensee or other person to a purchaser or consumer, the director of labor and training, or his or her agent or agents, may direct the person or persons having charge of that coal or coke to convey the coal or coke immediately to scales designated by the director of labor and training, or his or her agent or agents, and then the director, or his or her agent or agents, shall determine the quantity of that coal or coke and shall determine its weight, together with the tare weight, and shall direct the person or persons after unloading the coal or coke to return immediately to the scales where the original load was weighed and upon that return the director, or his or her agent or agents, shall determine the tare weight. The scales designated by the director, or his or her agent or agents, used as previously stated may be the public scales of any city or town or any other scales that have been tested and sealed and any scales as in the judgment of the director are most convenient; provided, that the provisions of this section do not apply to coal or coke while being transported in trains or cars operated by any railroad or street railroad authorized to do business in this state.

History of Section. P.L. 1923, ch. 483, § 8a; P.L. 1928, ch. 1217, § 1; G.L. 1938, ch. 367, §§ 7, 9; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-10 .

Cross References.

Public scales, § 47-6-1 et seq.

Public weighers of coal, § 47-7-1 et seq.

Standard ton, § 47-4-2.

5-4-11 — 5-4-17. [Repealed.]

Repealed Sections.

These sections (P.L. 1923, ch. 483, §§ 3, 8; P.L. 1935, ch. 2250, § 90; G.L. 1938, ch. 367, §§ 3, 8-10, 14; P.L. 1939, ch. 660, § 132; P.L. 1939, ch. 733, § 1; P.L. 1940, ch. 797, § 6; impl. am. P.L. 1941, ch. 1069, § 12; G.L. 1956, §§ 5-4-11 — 5-4-17), concerning the advisory council and its functions and duties, were repealed by P.L. 1998, ch. 317, § 2, effective July 13, 1998.

5-4-18. Suspension or revocation of license.

The director of labor and training, after a hearing, may suspend or revoke any license issued under the provisions of this chapter for using or giving false or insufficient weight, in violation of any provisions of this chapter or any rule or regulation promulgated by the director of labor and training under this chapter.

History of Section. P.L. 1923, ch. 483, § 7; G.L. 1938, ch. 367, § 7; G.L. 1938, ch. 367, § 11; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-18 ; P.L. 1998, ch. 317, § 1.

5-4-19. Judicial review of decisions.

Any person aggrieved by any decision or order of the director of labor and training made pursuant to the provisions of this chapter may appeal to the superior court under the provisions of chapter 35 of title 42.

History of Section. P.L. 1923, ch. 483, § 10; G.L. 1938, ch. 367, §§ 11, 12; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-19 .

Rules of Court.

For rule prescribing review of administrative action, see Super. Ct. R. Civ. P. 80.

5-4-20. Penalty for violations — Prosecution.

Whoever violates any provision of this chapter, or whoever is guilty of fraud or deceit in the weighing, selling, or delivering of coal or coke, or whoever willfully, by himself or herself or his or her servant, agent, or employee, sells or delivers or distributes or offers to sell, deliver, or distribute any coal or coke that does not comply with the universal trade custom of standards and specifications shall be punished by a fine of not less than one hundred dollars ($100) or more than five hundred dollars ($500). In any proceeding to enforce the provisions of this chapter, the director of labor and training shall not be required to enter into any recognizance or to give surety for costs.

History of Section. P.L. 1923, ch. 483, § 9; G.L. 1938, ch. 367, §§ 10, 13; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-20 ; P.L. 1998, ch. 317, § 1.

5-4-21. Fuels to which chapter applicable.

The provisions of this chapter shall be construed and deemed to apply to all anthracite and bituminous coal and to all coke and other fuels containing coal or coke that may be sold or offered for sale in this state. The term “coal,” as used in this chapter, includes both anthracite and bituminous coal and other fuels containing coal.

History of Section. G.L. 1938, ch. 367, § 14; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-21 ; P.L. 1998, ch. 317, § 1.

5-4-22. Appropriations — Disbursements.

For the purpose of paying necessary expenses in carrying out the provisions of this chapter, the general assembly shall annually appropriate any sum that it deems necessary; and the state controller is directed to draw his or her orders upon the general treasurer for the payment of that sum, or so much of it as may periodically be required, upon receipt by him or her of proper vouchers approved by the director of labor and training.

History of Section. P.L. 1923, ch. 483, § 12; G.L. 1938, ch. 367, §§ 13, 16; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-22 .

5-4-23. Severability.

If any clause, sentence, paragraph, or part of this chapter is for any reason adjudged by any court of competent jurisdiction to be invalid, that judgment shall not affect, impair, or invalidate the remainder of the chapter, but shall be confined in its operation to the clause, sentence, paragraph, or part, directly involved in the controversy in which that judgment has been rendered.

History of Section. P.L. 1923, ch. 483, § 11; G.L. 1938, ch. 367, §§ 12, 15; P.L. 1939, ch. 733, § 1; G.L. 1956, § 5-4-23 .

Chapter 5 Private Detective Act

5-5-1. Short title.

This chapter may be cited as the “Private Detective Act.”

History of Section. P.L. 1987, ch. 479, § 2.

Repealed Sections.

The former chapter (G.L. 1896, ch. 106, §§ 1, 2; G.L. 1909, ch. 127, §§ 1-3; G.L. 1923, ch. 133, §§ 1-3; G.L. 1938, ch. 368, §§ 1-3; impl. am. P.L. 1956, ch. 3721, § 1; G.L. 1956, §§ 5-5-1 5-5-4 ), consisting of §§ 5-5-1 5-5-4 and concerning detectives, was repealed by P.L. 1987, ch. 479, § 1, effective January 1, 1988. Section 2 of P.L. 1987, ch. 479 enacted the present chapter consisting of §§ 5-5-1 — 5-5-20 and concerning private detectives, effective January 1, 1988.

Comparative Legislation.

Private detectives:

Conn. Gen. Stat. § 29-153 et seq.

Mass. Ann. Laws ch. 147, § 22 et seq.

Collateral References.

Regulation of private detectives, private investigators, and security agencies. 86 A.L.R.3d 691.

5-5-2. Definitions.

As used in this chapter:

  1. “Applicant” means any person who has applied for permission to engage in any act or activity that is regulated pursuant to the provisions of this chapter.
  2. “Computer forensic specialist” means a person who holds a professional certification as a computer examiner and who interprets, evaluates, tests, or analyzes preexisting data from computers, computer systems, networks, or other electronic media, provided to them by another person who owns, controls, or possesses the computer, computer system, network, or other electronic media.
  3. “License” means any license required by this chapter.
  4. “License fee” means any moneys required by law to be paid for the issuance or renewal of any license required by the regulations.
  5. “Local licensing authority” means the town councils of license boards of the several towns, the mayor and city council or license bureau of a city.
  6. “Private detective” means a person who is hired for the purpose of conducting investigations involving:
    1. Inquiries into unsolved crimes;
    2. Clandestine surveillance;
    3. The search for missing persons; and
    4. The search for lost or stolen property.
  7. Words in the singular include the plural and the plural includes the singular.

History of Section. P.L. 1987, ch. 479, § 2; P.L. 2008, ch. 111, § 1; P.L. 2009, ch. 310, § 24.

5-5-3. License qualifications.

In order to be eligible for a license, an applicant must:

  1. Be a citizen of the United States or a resident alien;
  2. Not have been convicted in any jurisdiction of a felony;
  3. Not have had any previous private investigator license or registration revoked or application for that license or registration denied by the appropriate authority of any local licensing authority;
  4. Not have been declared by any court of competent jurisdiction incompetent by reason of mental defect or disease unless the court has subsequently determined that his or her competency has been restored;
  5. Not suffer from habitual drunkenness or from narcotics addiction or dependence;
  6. Be of good moral character; and
  7. Have experience that has been gained through:
    1. At least five (5) years’ experience as an investigator or as a police officer with a state, county, or municipal police department or with an investigative agency of the United States of America or of any state, county, or municipality; or
    2. A degree in criminal justice from an accredited college or university; or
    3. Employment by a private detective as an investigator for at least five (5) years; or
    4. Substantively equivalent training or experience.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-4. License application.

Any person engaged as a private detective prior to January 1, 1988, and who continues to be engaged as of January 1, 1988, may apply for a private detective license with the local licensing authority where his or her principal place of business is located. Persons presently licensed shall be granted private detective licenses from the local licensing authority upon application and verification that he or she has not been convicted in any jurisdiction of a felony. This initial application will be treated as a renewal of a license. Subsequent applications for renewal of his or her license are governed by § 5-5-6 .

History of Section. P.L. 1987, ch. 479, § 2.

5-5-5. Investigation and action on application.

After an examination of the application and any further inquiry and investigation that is deemed proper and necessary as to the good character, competency, and integrity of the applicant and the persons named in the application, the local licensing authority shall as soon as practicable issue a license in a form prescribed by it to the applicant or notify the applicant of a denial of the license application. Persons shall file their applications with the local licensing authority where his or her principal place of business is located.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-6. Grounds for denial of application for license or renewal of license.

The local licensing authority shall deny the application for or renewal of license if it finds that the applicant:

  1. Has violated any provisions of this chapter or rules and regulations promulgated under this chapter; or
  2. In the case of the applicant, commits any act that would disqualify him or her under § 5-5-10 or where the applicant has failed to meet the qualifications of this chapter;
  3. Practices fraud, deceit, or misrepresentation;
  4. Makes a material misstatement in the application for or renewal of a license; or
  5. Demonstrates incompetence or untrustworthiness in actions affecting the conduct of the business required to be licensed under this chapter.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-7. Procedure for approval or denial of application — Hearings.

The local licensing authority, in approving or denying an application for a license or renewal of a license, shall proceed as follows:

  1. If the application is approved, the local licensing authority shall issue a license in the form provided in this chapter;
  2. If the application is denied, the local licensing authority shall notify the applicant or licensee, in writing, of the denial and state the reasons for the authority’s action;
  3. Within fifteen (15) days from the receipt of notice, the applicant or licensee may request a hearing in writing;
  4. If a request for a hearing is received in a timely manner, the local licensing authority shall set a date for a hearing and notify the parties of the time and place of the hearing;
  5. All hearings shall be held in accordance with the provisions of chapter 35 of title 42.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-8. Renewal of licenses.

Each license shall expire one year after its date of issuance. Subject to the power of the local licensing authority to deny, revoke, or suspend a license, any license shall be renewable by the local licensing authority for the next one-year period upon proper application for renewal payment of license fees. An application for renewal of a license must be received by the local licensing authority on a form provided by the authority not less than thirty (30) days prior to the expiration date of the license, and the authority shall promptly notify the licensee of the authority’s intent to refuse to renew the license. The licensee may, within fifteen (15) days after receipt of the notice of intent to refuse to renew a license, request a hearing on the refusal in the manner prescribed by this chapter. A licensee is permitted to continue to engage in business while its renewal application is pending. Upon renewal of any license, the local licensing authority shall issue a renewal license.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-9. Registration and license fees.

  1. The registration and license fee for a private detective is one hundred fifty dollars ($150) annually.
  2. No license issued pursuant to the provisions of this chapter shall be assigned or transferred, either by operation of law or otherwise.
  3. With good cause, the local licensing authority may extend the period of time for filing the application required by this subsection.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-10. Grounds for suspension and revocation of licenses.

  1. A license may be suspended or revoked if the licensee:
    1. Violates any provisions of this chapter or rules and regulations promulgated under this chapter;
    2. Practices fraud, deceit, or misrepresentation;
    3. Makes a material misstatement in the application for or renewal of the license; or
    4. Commits any act that would disqualify the qualifying agent.
  2. After the licensee has exhausted the right of appeal or, if the licensee does not seek a hearing, the licensee shall immediately cease to operate the business for the time period provided in the order of suspension or permanently in the case of revocation and shall notify all of its clients of the revocation or suspension and maintain a copy of the notices in its business records.
  3. Under circumstances in which the local licensing authority determines that the public health, welfare, or safety may be jeopardized by the termination of a licensee’s services, that local licensing authority may, upon the authority’s own motion or upon application by the licensee or any party affected by the termination, extend the time for the termination of the licensee’s operations, subject to any reasonable, necessary, and proper conditions or restrictions that the authority deems appropriate.

History of Section. P.L. 1987, ch. 479, § 2; P.L. 2019, ch. 308, art. 1, § 4.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-5-11. Surrender of license.

Each license shall be surrendered to the local licensing authority within seventy-two (72) hours after it has been revoked or after the licensee ceases to do business pursuant to an order of suspension. If the local licensing authority or a court of competent jurisdiction has pending before it any matter relating to the renewal, revocation, or transfer of a license, the licensee shall not be required to surrender the license until the matter has been adjudicated and all appeals have been exhausted; provided, that a stay has been obtained in accordance with the provisions of this chapter pertaining to judicial review.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-12. Change in status of licensee.

The licensee shall notify the local licensing authority, in writing, within five (5) days of any material change in the information previously furnished or required to be furnished to the local licensing authority or any occurrence that could reasonably be expected to affect the licensee’s privilege to a license under this chapter.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-13. Uniform and equipment.

  1. No individual licensed by, registered by, or subject to the provisions of this chapter shall wear or display any insignia, patch, or pattern that indicates or tends to indicate that he or she is a law enforcement officer of the federal government, a state, or any political subdivision of the state or that contains or includes the word “police” or the equivalent of the word, or is similar in wording to any law enforcement agency in this state. All badges, shields, and any other devices shall not indicate or tend to indicate that it represents that of any law enforcement officer of the federal government, a state, or any other political subdivision of the state. This entire wording must be approved by the local licensing authority.
  2. No person, while performing any activities licensed by this chapter, shall have or utilize any vehicle or equipment displaying the words “police,” “law enforcement officer,” or the equivalent of the word(s), or have any sign, shield, marking, accessory, or insignia that indicates that the vehicle is a vehicle of a public law enforcement agency. All wording must indicate private detective or private investigating agency and be approved by the local licensing authority.
  3. No licensee shall, by the use of any letterhead, advertisement, or other printed matter, or in any other manner, represent that he or she is an instrumentality or agency of the federal government or of the state or political subdivision of the state.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-14. Bonding requirements.

Any licensee or private detective shall deliver to the local licensing authority, or its designee, a bond with a surety company authorized to do business in the state conditioned for the benefit of any person injured by willful, malicious, or wrongful acts of the licensee, which, in the case of an individual, shall be five thousand dollars ($5,000).

History of Section. P.L. 1987, ch. 479, § 2.

5-5-15. Prohibited activities.

It is unlawful for any person to knowingly commit any of the following:

  1. Provide any service required to be licensed under this chapter without possessing a valid license;
  2. Employ any individual to perform the duties of an unarmed employee or armed employee who has not first complied with all provisions of this chapter and the regulations in all respects;
  3. Falsely represent that a person is the holder of a valid license; or
  4. Possess a license or identification card issued to another person.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-16. Identification cards.

The local licensing authority shall prescribe by regulation the form of identification cards that may be carried by persons licensed under this chapter. Every person licensed under this chapter shall be given a permanent licensed number and shall be issued an identification card that is approximately two and one-half (21/2) inches wide and three and one-half (31/2) inches long and bears on it the number assigned to the licensee; the full name; date of birth; residence address; brief description of the licensee; his or her fingerprints and photograph; and a space upon which the licensee writes his or her usual signature with pen and ink, or a facsimile of the signature.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-17. Licensee business procedures.

Any licensee shall, on notice from the local licensing authority, discontinue any advertising or the use of any advertisement, seal, or card that, in the opinion of the local licensing authority, tends to mislead the public. Failure to comply with that order of the local licensing authority shall be cause for revocation of the license.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-18. Judicial review.

  1. Any person aggrieved by a final decision or order of the local licensing authority made after a hearing or rehearing, whether or not a petition for a hearing was filed, may obtain judicial review of the decision by appeal to the superior court in accordance with chapter 35 of title 42.
  2. Filing of an appeal does not stay enforcement of the decision or order of the local licensing authority unless the stay is obtained from the court upon application in accordance with the rules of court or from the superintendent upon any terms and conditions that he or she deems proper.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-19. Obligation to report criminal violations.

All felonies that are discovered by persons licensed and registered under this chapter shall be reported immediately to the Rhode Island state police, private investigative unit, or to the local police department where the crime occurred.

History of Section. P.L. 1987, ch. 479, § 2.

5-5-20. Exemptions.

  1. Nothing in this chapter includes the activities of any person employed by any federal or state agency or any city or town as an investigator. Nothing in this chapter shall be construed to require a detective’s license in order to interview parties and/or witnesses in legal matters.
  2. Nothing in this chapter shall be construed to require a detective’s license of any of the following:
    1. An agent, employee, or assistant to a licensed “detective” whose duties are in connection with the regular and customary business of his or her contracting agency;
    2. A person engaged in earning his or her livelihood by genealogical work and the compilation of family history while so engaged;
    3. An insurance investigator;
    4. A credit reporting bureau or agency whose business is principally the furnishing of information as to business and financial standing and credit responsibility; or
    5. An individual employed as a computer forensic specialist who holds professional certification as a computer examiner.

History of Section. P.L. 1987, ch. 479, § 2; P.L. 1991, ch. 429, § 1; P.L. 2008, ch. 111, § 1; P.L. 2009, ch. 310, § 24.

5-5-21. Engaging in business without a license.

Whoever without a license engages in the general business of a private detective, or holds him or herself out as a private detective, or pretends to be a detective police officer, shall be punished by a fine of not less than two hundred dollars ($200) nor more than five hundred dollars ($500), or imprisonment in the adult correctional institutions not exceeding six (6) months, or by both fine and imprisonment. Nothing contained in this section applies to a detective of another state coming within this state in the performance of his or her duties, for a temporary period and on a specific matter.

History of Section. P.L. 1988, ch. 286, § 1.

Chapter 5.1 Private Security Guard Businesses

5-5.1-1. Short title.

This chapter may be cited as the “Private Security Guard Act.”

History of Section. P.L. 1987, ch. 112, § 1.

Collateral References.

Actions of security service company’s employee as rendering company liable under contract to protect persons or property. 83 A.L.R.4th 1150.

Liability of security services company to injured employee as beneficiary of security services contract between company and employer. 75 A.L.R.4th 836.

5-5.1-2. Definitions.

  1. As used in this chapter:
    1. “Applicant” means any person who on his or her own behalf or on behalf of another has applied for permission to engage in any act or activity that is regulated under the provisions of this chapter.
    2. “Attorney General” means the attorney general of the state of Rhode Island.
    3. “Branch office” means any office of a licensee within the state other than its principal place of business within the state.
    4. “Business” means any corporation, company, association, operation, firm, partnership, institution, trust, or other form of business association, as well as a natural person. One client or customer constitutes a business.
    5. “Employee” means any natural person employed by the businesses defined in this section. It does not include secretaries and clerical workers.
    6. “License” means any license required by this chapter.
    7. “Licensee” means any person to whom a license is granted in accordance with the provisions of this chapter.
    8. “License fee” means any moneys required by law to be paid for the issuance or renewal of any license required by the regulations.
    9. “Person” means any corporation, company, association, operation, firm, partnership, institution, trust, or other form of business association, as well as a natural person.
    10. “Private security guard business” includes:
      1. A business that furnishes for hire or reward watchmen, guards, bodyguards, private patrolmen, or other persons, to protect persons or real and personal property;
      2. A business that furnishes for hire or reward any trained dog or other animal with or without an accompanying handler for the purpose of providing security.
    11. “Publicly traded corporation” means any corporation or other legal entity, except a natural person, that:

      (i) Has one or more classes of security registered pursuant to § 12 of the Securities Exchange Act of 1934 (15 U.S.C. § 78 l ); or

      (ii) Is an issuer subject to § 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. § 78o(d)).

  2. Words and terms: tense, number, and gender. In construing the provisions of this chapter except when otherwise plainly declared or clearly apparent from the context:
    1. Words in the present tense include the future tense;
    2. Words in the masculine include the feminine and neuter genders; and
    3. Words in the singular include the plural and the plural includes the singular.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-3. Powers and duties of the attorney general.

The attorney general, or his or her designee, shall have general responsibility and authority for the implementation of this chapter, as subsequently provided, including, without limiting the responsibility and authority:

  1. To process all applications for any license provided under this chapter;
  2. To investigate the qualifications of each applicant before any license is issued pursuant to the provisions of this chapter and to obtain a criminal background check on any applicants from the division of criminal identification within the department of the attorney general;
  3. To hear and decide all license applications, which includes the power to grant or deny the application and revoke or suspend the license;
  4. To promulgate any rules and regulations that in his or her judgment are necessary to fulfill the policies of this chapter;
  5. To investigate violations of this chapter and regulations promulgated under this chapter; and
  6. To collect all license and registration fees imposed by law and forward the fees immediately to the general treasurer.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-4. Regulations.

  1. The attorney general is authorized to adopt, amend, or repeal any regulations, consistent with the policy and objectives of this chapter, that he or she deems necessary or desirable for the public interest in carrying out the provisions of this chapter.
  2. The regulations shall be adopted, amended, and repealed in accordance with the provisions of chapter 35 of title 42.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-5. Subpoenas, oaths, and contempt.

  1. The attorney general, or his or her designee, shall have the power and authority to issue subpoenas and to compel the attendance of witnesses at any place within this state; to administer oaths; and to require testimony under oath. The attorney general may serve his or her process or notices in a manner provided for the service of process and notice in civil actions in accordance with the rules of court.
  2. If a witness refuses to obey a subpoena or to give any evidence relevant to proper inquiry by the attorney general, the attorney general may petition a court of competent jurisdiction within the state to compel the witness to obey the subpoena or to give the evidence. The court shall promptly issue process to the witness and hold a hearing on the petition as soon as possible. If the witness refuses, without reasonable cause or legal grounds, to be examined or to give evidence relevant to proper inquiry by the attorney general, the court may cite the witness for contempt.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-6. Inspections — Audits.

The attorney general, or his or her designee, shall have authority, with warrant:

  1. To inspect and examine the principal place of business, each bureau, agency, subagency, office, or branch office for which a license is sought or has been issued;
  2. To inspect, examine, and audit all books, records, and documents pertaining to the licensee’s operation; and
  3. To inspect and examine employees and records at site locations of operations under the controls entered into by the agency.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-7. License to conduct business — Violation.

No person, whether or not he or she is a resident of the state, shall engage in the private security guard business without first obtaining from the attorney general a license to conduct the business, as subsequently provided. No person shall conduct the business under the license of another person nor shall any person lease or sublease a license to another person; provided, that this provision does not apply to any person conducting the business under the license of another person, or who is the lessee or sublessee of a license of another person as of July 10, 1989. A license entitles the holder to conduct the businesses defined in § 5-5.1-2(a) and (b). Any person who violates any of the provisions of this section is guilty of a felony.

History of Section. P.L. 1987, ch. 112, § 1; P.L. 1989, ch. 522, § 1.

5-5.1-8. License qualifications.

  1. Every applicant, or in the case of a partnership each partner, or in the case of a corporation each officer and general, and each shareholder owning a ten percent (10%) or greater interest in the applicant, provided, the applicant is not a publicly traded corporation, shall meet the following qualifications before it may engage in any business licensed under this chapter:
    1. Be eighteen (18) years of age;
    2. Be a citizen of the United States or a resident alien;
    3. Not have been convicted in any jurisdiction of a felony;
    4. Not have had his or her license or registration revoked or application for the license or registration denied by the attorney general or by the appropriate authority of any other jurisdiction;
    5. Not have been declared by any court of competent jurisdiction incompetent by reason of mental defect or disease and not having been restored;
    6. Not suffer from habitual drunkenness or from narcotics addiction or dependence; and
    7. Be of good moral character.
  2. A corporation seeking a license shall be incorporated under the laws of this state or shall be qualified to do business within this state with a valid certificate of authority issued by the secretary of state and an agent for service of process designated as required by law.
  3. With verification of no criminal background as established in subsection (a) of this section, any person engaged in the private security guard industry, prior to January 1, 1988, and who continues to be engaged as of January 1, 1988, may apply for a security agent license. This initial application will be treated as a renewal of a license.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-9. Investigation and action on application.

After an examination of the application and any further inquiry and investigation that he or she deems proper and necessary as to the good character, competency, and integrity of the applicant and the persons named in the application, the attorney general shall as soon as practicable issue a license in a form prescribed by him or her to the applicant or notify the applicant of a denial of the license application.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-10. Grounds for denial of application for license or renewal of license.

The attorney general shall deny the application for or renewal of a license if he or she finds that the applicant, or the qualifying agent, or any of the applicant’s partners, officers, generals, or shareholders owning a ten percent (10%) or greater interest in the applicant, provided the applicant is not a publicly traded corporation, does any of the following:

  1. Violates any provisions of this chapter or rules and regulations promulgated under this chapter;
  2. In the case of the qualifying agent, commits any act that would disqualify the qualifying agent under § 5-5.1-8 and in the case of the applicant, or applicant’s partners, officers, generals, or shareholders owning a ten percent (10%) or greater interest in the applicant, provided the licensee is not a publicly traded corporation, has failed to meet the qualifications of § 5-5.1-8 ;
  3. Practices fraud, deceit, or misrepresentation;
  4. Makes a material misstatement in the application for or renewal of a license; or
  5. Demonstrates incompetence or untrustworthiness in actions affecting the conduct of the business required to be licensed under the chapter.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-11. Procedure for approval or denial of application — Hearings.

The procedure of the attorney general in approving or denying an application for a license or renewal of the license shall be as follows:

  1. If the application is approved, the attorney general shall issue a license in the form provided in this chapter;
  2. If the application is denied, the attorney general shall notify the applicant or licensee, in writing, of the denial and state the reasons for his or her action;
  3. Within fifteen (15) days from the receipt of notice, the applicant or licensee may request a hearing in writing;
  4. If a request for a hearing is received in a timely manner, the attorney general shall set a date for a hearing and notify the parties of the time and place of the hearing;
  5. All hearings shall be held in accordance with the provisions of chapter 35 of title 42.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-12. Renewal of licenses.

Each license shall expire two (2) years after its date of issuance. Subject to the power of the attorney general to deny, revoke, or suspend a license, any license shall be renewable by the attorney general for the next two-year (2) period upon proper application for renewal payment of license fees. An application for renewal of a license must be received by the attorney general on a form provided by him or her not less than thirty (30) days prior to the expiration date of the license. He or she shall promptly notify the licensee of his or her intent to refuse to renew the license. The licensee may, in fifteen (15) days after receipt of that notice of intent to refuse to renew a license, request a hearing on the refusal in the manner prescribed by § 5-5.1-11 . A licensee shall be permitted to continue to engage in business while its renewal application is pending. Upon renewal of any license the attorney general shall issue a renewal license.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-13. Registration and license fees.

The registration and license fee for a private security guard business shall be four hundred dollars ($400) biennially.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-14. Nontransferability of license.

  1. No license issued pursuant to the provisions of this chapter shall be assigned or transferred, either by operation of law or otherwise.
  2. If a licensee dies, becomes disabled, or ceases to engage in the business, the successor, heir, devisee, or personal representative of the licensee shall, within thirty (30) days of the death, disablement, or other termination of operation by the original licensee, comply with all requirements of this chapter regarding application for a license.
  3. If a sale, assignment, transfer, merger, or consolidation of a business licensed under this chapter is consummated, the purchaser, assignee, transferee, surviving, or new corporation who or that is not already a licensee shall immediately comply with all requirements of this chapter regarding application for a license. The purchaser, assignee, transferee, surviving, or new corporation is subject to all of the requirements of this chapter to the extent the requirements are applicable and may continue the operation of the business until notified by the attorney general of its final decision on the new application for a license.
  4. With good cause, the attorney general may extend the period of time for filing the application required by subsections (b) and (c) of this section.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-15. Grounds for suspension and revocation of licenses.

  1. The attorney general may suspend or revoke any license issued under this chapter in the manner subsequently prescribed if the licensee or any of its partners, officers, generals, and shareholders owning a ten percent (10%) or greater interest in the license, provided the licensee is not a publicly traded corporation, and the qualifying agent does any of the following:
    1. Violates any provisions of this chapter or rules and regulations promulgated under this chapter;
    2. Practices fraud, deceit, or misrepresentation;
    3. Makes a material misstatement in the application for or renewal of the license;
    4. In the case of the qualifying agent, commits any act that would disqualify the qualifying agent under § 5-5.1-8 and in the case of the licensee, or any of its partners, officers, generals, and shareholders owning a ten percent (10%) or greater interest in the licensee, provided the licensee is not a publicly traded corporation, fails to meet the qualifications of § 5-5.1-8 ; or
    5. Demonstrates incompetence or untrustworthiness in actions affecting the conduct of the business required to be licensed under this chapter.
    1. Prior to suspension or revocation of a license, the attorney general shall promptly notify the licensee of his or her intent to issue an order for revocation or suspension, stating the grounds for revocation or suspension. Within fifteen (15) days of receipt of notice of intent to revoke or suspend from the attorney general, the licensee may request a hearing in writing.
    2. If a request for a hearing is received in a timely manner, the attorney general shall set a date for a hearing and notify the parties of the time and place of the meeting.
    3. All hearings shall be held in accordance with the provisions of chapter 35 of title 42.
  2. After the licensee has exhausted the right of appeal or, if the licensee does not seek a hearing, the licensee shall immediately cease to operate the business for the time period provided in the order of suspension or permanently in the case of revocation and shall notify all of its clients of the revocation or suspension and maintain a copy of the notices in its business records.
  3. Under circumstances in which the attorney general determines that the public health, welfare, or safety may be jeopardized by the termination of a licensee’s services, the attorney general may, upon his or her own motion or upon application by the licensee or any party affected by the termination, extend the time for the termination of the licensee’s operations, subject to any reasonable, necessary, and proper conditions or restrictions that he or she deems appropriate.

History of Section. P.L. 1987, ch. 112, § 1; P.L. 2019, ch. 308, art. 1, § 5.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

Collateral References.

Actions of security service company’s employee as rendering company liable under contract to protect persons or property. 83 A.L.R.4th 1150.

5-5.1-16. Surrender of license.

Each license shall be surrendered to the attorney general within seventy-two (72) hours after it has been revoked or after the licensee ceases to do business pursuant to an order of suspension. If the attorney general or a court of competent jurisdiction has pending before it any matter relating to the renewal, revocation, or transfer of a license, the licensee shall not be required to surrender the license until the matter has been adjudicated and all appeals have been exhausted; provided that a stay has been obtained in accordance with the provisions of this chapter pertaining to judicial review.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-17. Change in status of licensee.

The licensee shall notify the attorney general, in writing, within five (5) days of:

  1. Any change in identity of the licensee, or any of its partners, directors, officers, and shareholders owning a ten percent (10%) or greater interest in the licensee, provided the licensee is not a publicly traded corporation. Any substitute in the persons enumerated must satisfy all requirements of §§ 5-5.1-8 and 5-5.1-13 and be approved, in writing, by the attorney general; and
  2. Any material change in the information previously furnished or required to be furnished to the attorney general or any occurrence that could reasonably be expected to affect the licensee’s privilege to a license under this chapter.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-18. Registration.

  1. Except as provided in this chapter, no person shall perform the functions and duties of an employee of a business required to be licensed under this chapter in this state without first having been registered or licensed. The attorney general shall keep and make available for public inspection a list of all persons who have been registered or licensed and the name of the company employing the person at the time of registration or licensure.
  2. No holder of any unexpired license issued pursuant to this chapter shall knowingly employ any person who has been convicted of a felony in connection with his or her or its business in any capacity. Should the holder of an unexpired license falsely state or represent that a person is or has been in his or her employ, that false statement or misrepresentation is sufficient cause for the revocation of the license.
  3. No person shall be employed by any holder of a license until he or she has executed and furnished to the license holder a verified statement, to be known as “employee’s registration statement,” stating:
    1. His or her full name, age, residence address, and place and date of birth;
    2. The country of which he or she is a citizen;
    3. The business or occupation engaged in for the five (5) years immediately preceding the date of the filing of the statement, stating the place or places where the business or occupation was engaged in, and the name or names of any employers;
    4. That he or she has not been convicted of a felony; and
    5. Any further information that the attorney general may by rule require to show the good character, competency, and integrity of the person executing the statement.
  4. All holders of a license shall be allowed to obtain a criminal background check on any employee or prospective employee from the division of criminal identification for a fee determined by the department of the attorney general.
  5. If any holder of a license files with the attorney general the “employee’s statement” of a person other than the person employed, he or she is guilty of a felony.

History of Section. P.L. 1987, ch. 112, § 1; P.L. 1989, ch. 522, § 1; P.L. 2021, ch. 400, § 2, effective July 13, 2021; P.L. 2021, ch. 401, § 2, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 2, and P.L. 2021, ch. 401, § 2 enacted identical amendments to this section.

5-5.1-19. Uniform and equipment.

  1. No individual licensed by, registered by, or subject to the provisions of this chapter shall wear or display any insignia, patch, or pattern that indicates or tends to indicate that he or she is a law enforcement officer of the federal government, a state, or any political subdivision of the state or that contains or includes the word “police” or the equivalent of that word, or is similar in wording to any law enforcement agency in this state. All badges, shields, and any other devices shall not indicate or tend to indicate that it represents that of any law enforcement officer of the federal government, a state, or any other political subdivision of the state. This entire wording must be approved by the attorney general.
  2. No person while performing any activities of a business licensed by this chapter shall have or utilize any vehicle or equipment displaying the words “police,” “law enforcement officer,” or the equivalent of these words, or have any sign, shield, marking, accessory, or insignia that indicates that the vehicle is a vehicle of a public law enforcement agency. This entire wording must be approved by the attorney general.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-20. Identification cards.

The attorney general shall prescribe by regulation the form of identification cards that may be carried by persons licensed under this chapter.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-21. Licensee business procedures.

  1. Any licensee shall, on notice from the attorney general, discontinue any advertising or the use of any advertisement, seal, or card that, in the opinion of the attorney general, tends to mislead the public. Failure to comply with this order of the attorney general is cause for revocation of the license.
    1. No licensee shall, by the use of any letterhead, advertisement, or other printed matter, or in any manner, represent that he or she is an instrumentality or agency of the federal government or of the state or political subdivision of the state.
    2. No licensee shall conduct a business under a trade name until he or she has obtained the written authorization of the attorney general to do so. The attorney general shall not authorize the use of a trade name that, in his or her opinion, is similar to that of a public office or agency, or of that used by another licensee that the public may be confused or misled by the trade name, except that this provision does not apply to the continued use of a trade name by a corporation that:
      1. Was commercially using that trade name in good faith on December 31, 1987; and
      2. Had commercially used that trade name in good faith continuously for a period of more than one year prior to December 31, 1987.
    3. The authorization shall require, as a condition precedent to the use of the name, the filing of a certificate of doing business under the name with the city or town clerk of the city or town where the licensee’s principal place of business is located and with the secretary of state in the manner provided by law.

History of Section. P.L. 1987, ch. 112, § 1; P.L. 1989, ch. 297, § 1.

5-5.1-22. Insurance requirements.

A licensee of a private security guard business shall file with the attorney general a certificate of insurance evidencing comprehensive general liability coverage for bodily injury, personal injury, and property damage with endorsements for assault and battery and personal injury, including false arrest, libel, slander, and invasion of privacy, in the minimum amount of three hundred thousand dollars ($300,000) for bodily or personal injury and one hundred thousand dollars ($100,000) for property damage. A licensee shall also file endorsements for damage to property in their care, custody, and control and for errors and omissions. The certificate shall provide that the insurance shall not be modified or cancelled unless thirty (30) days’ prior notice is given to the attorney general. A licensee must be insured by a carrier licensed in this state.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-23. Criminal offenses.

  1. It is unlawful for any person subject to the provisions of this chapter to knowingly commit any of the following:
    1. Provide any service required to be licensed under this chapter without possessing a valid license;
    2. Employ any individual to perform the duties of an unarmed employee or armed employee who has not first complied with all provisions of this chapter and the regulations in all respects;
    3. Falsely represent that a person is the holder of a valid license; or
    4. Possess a license or identification card issued to another person.
  2. The violation of any of the provisions of this section is a felony.

History of Section. P.L. 1987, ch. 112, § 1.

5-5.1-24. Judicial review.

  1. Any person aggrieved by a final decision or order of the attorney general made after a hearing or rehearing, whether or not a petition for a hearing was filed, may obtain judicial review of the decision by appeal to the superior court in accordance with chapter 35 of title 42.
  2. Filing of an appeal shall not stay enforcement of the decision or order of the attorney general unless the stay is obtained from the court upon application in accordance with the rules of court or from the attorney general upon any terms and conditions that he or she deems proper.

History of Section. P.L. 1987, ch. 112, § 1.

Chapter 6 Electricians

5-6-1. Definitions.

For purposes of this chapter:

  1. “Burner contractor” means a corporation, firm, or person, who or that, by the employment of oil burnerpersons, performs the work of installing and servicing domestic heating equipment, including central heating plants and domestic-type range burners, and including all accessory equipment and control systems, excluding thermostatic, mechanical, and low-voltage wiring on heating, ventilating, and air conditioning equipment.
  2. “Burnerperson” means a person doing any work, or installing or servicing burners and other equipment, installed and serviced by a burner contractor.
  3. “Electrical contractor” means a corporation, firm, or person, who or that, by the employment of journeypersons, performs the work of installing, maintaining, servicing, and testing wires, conduits, apparatus, fixtures, and other appliances for carrying or using electricity for light, heat, or power purposes exclusive of low-voltage wiring for heating or refrigeration equipment for service, maintenance, and installation.
  4. “Electrical sign contractor” means a corporation, firm, or person who or that, by the employment of electrical sign installers, performs the work of installing, altering, and servicing electrical signs. This may include the removal or installation of no more than three (3) wires not to exceed fifteen feet (15´) in length and terminating in an existing electrical enclosure directly adjacent to, or at the base of, said sign.
  5. “Electrical sign installer” means a person engaged in installing, altering, and servicing electrical signs. This may include the removal or installation of no more than three (3) wires not to exceed fifteen feet (15´) in length and terminating in an existing electrical enclosure directly adjacent to, or at the base of, said sign.
  6. “Fire alarm contractor” means a corporation, firm, or person who, by the employment of fire alarm installers, performs the work of installing, maintaining, altering, servicing, and testing of fire alarm systems in accordance with the Rhode Island fire safety code.
  7. “Fire alarm installation” means the installation or alteration of a fire alarm system according to the Rhode Island fire safety code.
  8. “Fire alarm installer” means a person engaged in installing, maintaining, altering, or servicing and testing a fire alarm system used for the purpose of causing an alarm to be sounded in case of fire.
  9. “Journeyperson electrician” means a person doing any work of installing wires, conduits, apparatus, fixtures, and other appliances.
  10. “Lightning-protection contractor” means a corporation, firm, or person, who or that, by employment of lightning-protection installers, performs the work of installing, altering, and maintaining lightning-protection systems. The “systems” are defined and should be installed in accordance with NFPA 780 current edition, and all referenced NFPA documents.
  11. “Lightning-protection installer” means a person engaged in the installation, service, or maintenance of a lightning-protection system according to NFPA 780 current edition.
  12. “Sign renovation electrical license” means a person engaged in the installation, service, or maintenance of electrical signs, but only when the installation, service, or maintenance requires the removal or installation of no more than three (3) wires.

History of Section. P.L. 1942, ch. 1234, § 4; G.L. 1956, § 5-6-1 ; P.L. 1963, ch. 198, § 1; P.L. 1985, ch. 446, § 1; P.L. 1989, ch. 63, § 1; P.L. 1990, ch. 228, § 1; P.L. 1991, ch. 320, § 1; P.L. 1992, ch. 57, § 1; P.L. 2006, ch. 208, § 1; P.L. 2009, ch. 310, § 25; P.L. 2014, ch. 417, § 1; P.L. 2014, ch. 466, § 1; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

Comparative Legislation.

Electricians:

Conn. Gen. Stat. § 20-330 et seq.

Mass. Ann. Laws ch. 141, § 1 et seq.

5-6-2. Work for which license required.

    1. No person, firm, or corporation shall enter into, engage in, solicit, advertise, bid for, or work at the business of installing, maintaining, servicing, and testing wires, conduits, apparatus, fixtures, electrical signs, lightning-protection equipment as defined in § 5-6-1 , and other appliances for carrying or using or generating electricity for light, heat, fire alarms, as defined in chapter 28.25 of title 23, entitled “Fire Alarm Systems,” or power purposes, exclusive of low-voltage wiring for heating/refrigeration equipment, or work at the business of removing and reattaching existing electrical meters, unless that person, firm, or corporation shall have received a license and a certificate for the business, issued by the state board of examiners of electricians of the division of professional regulation of the department of labor and training in accordance with the provisions set forth in this chapter.
    2. That person shall carry this license on his or her person at all times while so engaged, and shall affix his or her contractor’s license number to any advertisement and/or contract he or she executes and/or to any bid he or she files with any consumer for his or her professional services and to any applicable permit required for the performance of those services.
  1. Any person, firm, or corporation that is required to apply for a permit from a local building official for any work required to be performed by a person licensed under the provisions of this chapter shall cause the work to be performed by a person licensed under the provisions of this chapter; provided, that the provisions of this section, except the provision regarding removing and reattaching existing electrical meters, shall not apply to owner-occupied, single-family homes.

History of Section. P.L. 1942, ch. 1234, § 3; G.L. 1956, § 5-6-2 ; P.L. 1963, ch. 198, § 2; P.L. 1985, ch. 181, art. 51, § 1; P.L. 1985, ch. 446, § 1; P.L. 1986, ch. 198, § 6; P.L. 1989, ch. 63, § 1; P.L. 1989, ch. 142, § 2; P.L. 1990, ch. 91, § 1, P.L. 1990, ch. 228, § 1; P.L. 1991, ch. 320, § 1; P.L. 1998, ch. 151, § 1; P.L. 2001, ch. 366, § 1; P.L. 2002, ch. 379, § 1; P.L. 2006, ch. 208, § 1; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

Cross References.

Licensing of electricians for installation of burglar alarms, § 5-57-14 .

NOTES TO DECISIONS

License Not Required.

As support for electrical equipment was not one of the uses of an “apparatus for carrying or using electricity” that required an electrician for installation under R.I. Gen. Laws § 5-6-2 , and because at the time a contractor completed building a support structure for electrical components, no such components were attached to it, the structure did not have to be built by a licensed electrician. Unistrut Corp. v. State DOL & Training, 922 A.2d 93, 2007 R.I. LEXIS 51 (R.I. 2007).

License Required.

Employer and a licensed electrician violated R.I. Gen. Laws § 5-6-2 when they allowed three unlicensed men to install polyvinyl chloride (PVC) material because the PVC material was conduit for the carrying of electricity. Reilly Elec. Contrs., Inc. v. State Dep't of Labor & Training, 46 A.3d 840, 2012 R.I. LEXIS 116 (R.I. 2012).

Collateral References.

Failure to obtain occupational or business license as defense to tort action. 13 A.L.R.2d 157.

Licensing of electricians. 96 A.L.R. 1506.

5-6-2.1. Inspection and right of entry.

The division of professional regulation by and through its electrical investigators has the right and authority to enter, during times at which electrical work is actually being performed on any commercial building, structure, or premises where electrical work is being done, except any building, structure, or premises exempt by law, for the purpose of ascertaining compliance with this chapter.

History of Section. P.L. 1989, ch. 414, § 1; P.L. 2002, ch. 379, § 1.

5-6-3. Devices and appliances inserted by unlicensed persons.

Nothing in this chapter shall be construed to forbid the insertion in electrical circuits, by unlicensed persons, of devices or appliances including, but not limited to, microwaves, refrigerators, ranges, televisions, light bulbs, and the like that are properly designed for that insertion and for which proper wire and insertion devices are installed.

History of Section. P.L. 1942, ch. 1234, § 4; G.L. 1956, § 5-6-3 ; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

5-6-4. Board of examiners — Composition — Appointment of members — Policy-making role.

    1. There is created in the division of professional regulation, in the department of labor and training, a state board of examiners of electricians that at all times consists of seven (7) qualified electors of the state as follows:
      1. A member of an electrical inspection department of any city or town with, at least, five (5) years’ experience as an electrical inspector to represent the general public;
      2. A qualified electrical contractor to represent employers;
      3. A journeyperson electrician to represent labor;
      4. The state fire marshal, who is ex officio, or his or her designee;
      5. A qualified employee of any electric utility company to represent the utility companies;
      6. A journeyperson electrician to represent organized labor selected from a list of three (3) persons submitted to the governor by the American Federation of Labor — Congress of Industrial Organizations (AFL-CIO); and
      7. A member of the Rhode Island Sign Contractors Association.
    2. On or before January 31, the governor shall annually appoint a member or members of the board to succeed the member or members whose term is at that time expiring who shall serve for four (4) years or until his or her successor is elected and qualified. Any vacancy that occurs in the board from any cause shall be filled by the governor for the remainder of the unexpired term.
  1. The board has a policy-making role in the preparation and composition of the examinations to be administered by the division. Subsequent to the administration of the examinations, the board of examiners shall review the examinations to evaluate their effectiveness. The board shall supervise the operation of the division in an advisory capacity in promulgating any policy that is necessary to improve the operation of the division in their area of expertise. The promulgation of that policy is subject to the approval of the director of the department. Members of the board are subject to the provisions of chapter 14 of title 36.
  2. The director of labor and training has the power to revoke or suspend the certificate or license or impose a fine upon the certificate or license holder, for all certificates and licenses issued by the division of professional regulation, after a hearing before and upon the recommendation of the board of examiners of electricians.

History of Section. P.L. 1942, ch. 1234, § 1; G.L. 1956, § 5-6-4 ; P.L. 1985, ch. 181, art. 51, § 1; P.L. 1987, ch. 473, § 1; P.L. 1992, ch. 58, § 1; P.L. 1995, ch. 354, § 1.

Cross References.

Division of occupational safety, § 28-20-1 et seq.

5-6-5. Board of examiners — Officers — Employment of personnel.

  1. The members of the board of examiners of electricians shall choose a chairperson and secretary to hold office until their successors are appointed. Vacancies arising in the office of chairperson or secretary between regular appointments shall be cared for in a like manner.
  2. The division of professional regulation is authorized to employ the necessary personnel to properly administer this chapter.

History of Section. P.L. 1942, ch. 1234, § 2; P.L. 1953, ch. 3152, § 1; G.L. 1956, § 5-6-5 ; P.L. 1985, ch. 181, art. 51, § 1.

5-6-6. Rules — Conduct of examinations.

The division of professional regulation, with the assistance of the state board of examiners of electricians, may make necessary rules for the proper performance of their duties. The division shall hold examinations in Providence twice in each year and at other convenient places within the state at the discretion of the division. Public notice shall be given of all examinations. In the conduct of the examinations, the division shall make uniform requirements for all cities and towns, which may be revised from time to time, as circumstances require. Examinations shall be sufficiently frequent to give ample opportunity for all applicants to be thoroughly and carefully examined and may be written and/or in practical work, but no license shall be granted except by the division.

History of Section. P.L. 1942, ch. 1234, § 5; G.L. 1956, § 5-6-6 ; P.L. 1985, ch. 181, art. 51, § 1.

5-6-7. Forms of licenses.

Fourteen (14) forms of licenses shall be issued:

  1. The first, subsequently referred to as Certificate A, is known as an “electrical contractor’s license”;
  2. The second, subsequently referred to as Certificate B, is known as a “journeyperson electrician’s license”;
  3. The third, subsequently referred to as Certificate C, is known as a “limited-premises license”;
  4. The fourth, subsequently referred to as Certificate E, is known as a “burner contractor’s license”;
  5. The fifth, subsequently referred to as Certificate F, is known as a “burnerperson’s license”;
  6. The sixth, subsequently referred to as Certificate AF, is known as a “fire alarm contractor’s license”;
  7. The seventh, subsequently referred to as Certificate BF, is known as a “fire alarm installer’s license”;
  8. The eighth, subsequently referred to as Certificate SCF, is known as an “electrical sign contractor’s license”;
  9. The ninth, subsequently referred to as Certificate CF, is known as an “electrical sign installer’s license”;
  10. The tenth, subsequently referred to as Certificate D, is known as a “limited-maintenance license”;
  11. The eleventh, subsequently referred to as Certificate M, shall be known as a “limited-maintenance journeyperson license”;
  12. The twelfth, subsequently referred to as Certificate LPC, shall be known as a “lightning-protection contractor’s license”;
  13. The thirteenth, subsequently referred to as Certificate LPI, shall be known as a “lightning-protection installer’s license”; and
  14. The fourteenth, subsequently referred to as Certificate SRL, shall be known as a “sign renovation electrical license.”

History of Section. P.L. 1942, ch. 1234, § 7; P.L. 1949, ch. 2270, § 1; G.L. 1956, § 5-6-7 ; P.L. 1963, ch. 198, § 2; P.L. 1985, ch. 446, § 1; P.L. 1991, ch. 320, § 1; P.L. 1992, ch. 58, § 1; P.L. 1997, ch. 266, § 1; P.L. 2000, ch. 379, § 1; P.L. 2005, ch. 339, § 1; P.L. 2006, ch. 208, § 1; P.L. 2014, ch. 417, § 1; P.L. 2014, ch. 466, § 1; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

5-6-8. Contractor’s certificates/licenses.

  1. Electrical contractor’s license.  A Certificate A shall be issued to any person, firm, or corporation, qualified under this chapter, engaging in, or about to engage in, the business of installing, maintaining, servicing, and testing electrical wires, conduits, apparatus, fixtures, fire alarm and safety communication systems, and other electrical appliances, excluding low-voltage wiring for heating, ventilating, and air conditioning equipment. The certificate shall specify the name of the person, firm, or corporation applying for it and the name of the person, who in the case of a firm is one of its members, and in the case of a corporation, is one of its officers, passing the examination by which he or she or it is authorized to enter upon, or engage in, business as prescribed in the certificate. The holding of a Certificate A does not entitle the holder individually to engage in or perform the actual work of installing, maintaining, servicing, and testing electric wires, conduits, or appliances as previously described in this chapter, but entitles him or her to conduct business as an electrical contractor.
  2. Burner contractor’s license.  A Certificate E shall be issued to any person, firm, or corporation qualified under this chapter and engaged in, or about to engage in, the business of a burner contractor as defined in § 5-6-1 . The certificate shall specify the name of the person, firm, or corporation applying for it and the name of the person who, in the case of a firm is one of its members, and in the case of a corporation is one of its officers, passing the examination, by which he or she or it is authorized to enter upon, or engage in, business as prescribed in the certificate. The holding of a Certificate E does not entitle the holder individually to engage in or perform any work on, or in connection with, electric wires, conduits, and appliances as previously described in this chapter, but entitles the holder to contract to do that work, to the extent permitted in this chapter, through the employment of burnerpersons holding a Certificate F. A burner contractor who is the holder of a Certificate A is not required to obtain a Certificate E.
  3. Fire alarm contractor’s license.  A Certificate AF shall be issued to any person, firm, or corporation qualified under this chapter and engaged in, or about to engage in, the business of a fire alarm contractor as defined in § 5-6-1 . The certificate shall specify the name of the person, firm, or corporation applying for it and the person who, in the case of a firm is one of its members, and in the case of a corporation is one of its officers, passing the examination by which he or she or it is authorized to enter upon, or engage in, business as prescribed in the certificate. The holding of a Certificate AF does not entitle the holder individually to engage in, or perform and work on, or in connection with, electric wires, fire alarm wires, conduits, and appliances as previously described in this chapter, but entitles the holder to contract to do that work to the extent permitted in this chapter through the employment of fire alarm installers holding a Certificate BF. A contractor who is the holder of a Certificate A is not required to obtain a Certificate BF.
  4. Electrical sign contractor’s license.  A Certificate SCF shall be issued to any person, firm, or corporation qualified under this chapter and engaged in or about to engage in the business of electrical sign installations, as defined in § 5-6-1 .
  5. Lightning-protection contractor.  A Certificate LPC shall be issued to any person, firm, or corporation qualified under this chapter and engaged in, or about to engage in, the business of lightning-protection contractor as defined in § 5-6-1 . The Certificate LPC shall specify the name of the person, firm, or corporation applying for it and the person, who in the case of a firm, is one of its members, and in the case of a corporation, is one of its officers, passing the examination by which he or she or it is authorized to enter upon or engage in business as prescribed in the certificate. The holding of a Certificate LPC does not entitle the holder individually to engage in, or perform and work on, or in connection with, the installation of lightning-protection equipment as defined in § 5-6-1 , unless that individual also holds a Certificate LPI, but entitles the holder to contract to do that work to the extent permitted in this chapter through the employment of lightning-protection installers holding a Certificate LPI.
  6. Sign renovation electrical license.  A certificate SRL shall be issued to any person, firm, or corporation qualified under this chapter and engaged in, or about to engage in, the business of sign renovation or installation of signs when such renovation or installation requires the removal or installation of no more than three (3) wires.
  7. Renewable energy professional.  A Certificate REP shall be issued to any person, firm, or corporation, qualified under this chapter, engaged in or about to engage in the business of installing eligible renewable energy technologies as defined in § 39-26-5 . All renewable energy electrical work, including installing, connecting, maintaining, servicing, and testing all electrical wires, conduits, and apparatus; mounting the modules to the mounting racks; mounting the inverters; and tying the inverters into the main electrical panels, shall be done by a licensed electrician. Ancillary non-electrical, renewable energy work, such as advertising services; distribution of materials to final location of installation including photovoltaic modules to the mounting racks; and installing the ground and rooftop support brackets and ballast for rack systems, may be done by any person, firm, or corporation holding a Certificate REP. The Certificate REP shall specify the name of the person, firm, or corporation applying for it and the name of the person, who in the case of a firm is one of its members, and in the case of a corporation, is one of its officers, meeting the requisite education and experience as established in § 5-6-11 , by which he or she or it is authorized to enter upon, or engage in, business as prescribed in the certificate. The holding of a Certificate REP entitles the holder to contract to do that work to the extent permitted in this chapter. The installation, mechanical fastening, and conjoining of listed solar sheathing systems that are ten kilowatts (10 kw) or less on residential structures as defined by the Rhode Island one- and two-family dwelling code may be performed by a registered contractor who or that has been issued a renewable energy professional certificate (Certificate REP) as defined in § 5-6-11(e) and above referenced. However, said residential solar sheathing system shall be connected to the electrical system from the roof edge and energized by a Rhode Island licensed electrician working in compliance with this chapter. Additionally, the residential solar sheathing systems noted must be listed and labeled by UL or other recognized electrical device certification organization, identified and acceptable by the authority having jurisdiction.

History of Section. P.L. 1942, ch. 1234, § 7; G.L. 1956, § 5-6-8 ; P.L. 1963, ch. 198, § 3; P.L. 1985, ch. 446, § 1; P.L. 1989, ch. 63, § 1; P.L. 1990, ch. 228, § 1; P.L. 1991, ch. 320, § 1; P.L. 2006, ch. 208, § 1; P.L. 2014, ch. 104, § 1; P.L. 2014, ch. 141, § 1; P.L. 2014, ch. 417, § 1; P.L. 2014, ch. 466, § 1; P.L. 2016, ch. 512, art. 1, § 2; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

5-6-9. Journeyperson’s certificate/license.

A Certificate B shall be granted to any person who has passed an examination before the division of professional regulation. The certificate shall specify the name of the person who is authorized to engage in the occupation of a journeyperson electrician.

History of Section. P.L. 1942, ch. 1234, § 7; G.L. 1956, § 5-6-9 ; P.L. 1985, ch. 181, art. 51, § 1.

5-6-10. Limited-premises certificate/license.

A Certificate C shall be issued to the department of transportation, state airport corporation, and manufacturing and industrial firms that regularly employ one or more Class B or Class M journeyperson electricians for installation and when the work performed by those individuals is limited to maintenance and repair of electrical wiring, devices, appliances, and equipment on the premises owned or occupied by the applicant. The application must be made by a responsible officer of the firm and contain a description of the premises within which work is to be done under the permit. All work must meet electrical and municipal codes and must be permitted accordingly by the municipality.

History of Section. P.L. 1942, ch. 1234, § 7; P.L. 1949, ch. 2270, § 2; G.L. 1956, § 5-6-10 ; P.L. 1997, ch. 346, § 1; P.L. 2008, ch. 88, § 1; P.L. 2008, ch. 300, § 1; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

5-6-10.1. Limited-maintenance license.

A Certificate D shall be issued to municipalities, schools, hospitals, colleges, or other non-manufacturing firms or establishments that regularly employ one or more licensed electricians (journeyperson/Class B or Class M) when the work performed by those individuals is limited to the maintenance of electrical wiring, devices, appliances, and equipment on the premises owned or occupied by the applicant. The application must contain a description of the premises within which work is to be done under the permit. All work must meet electrical and municipal codes and must be permitted accordingly by the municipality.

History of Section. P.L. 2000, ch. 379, § 2; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

5-6-10.2. Limited journeyperson maintenance certificate/license — Class M.

A certificate M is granted to any person who has passed an examination before the division of professional regulation, and who is regularly employed by a Rhode Island Class C or Class D license holder as specified in §§ 5-6-10 and 5-6-10 .1. The certificate specifies the name of the person who is authorized to engage in the occupation of a limited journeyperson maintenance electrician.

History of Section. P.L. 2005, ch. 339, § 2.

5-6-10.3. Limited premises certificate/license — Certificate PC.

  1. A Certificate PC shall be issued to public institutions of higher educations that regularly employ one or more Class B journeyperson electricians when the work performed by those individuals is limited to the replacement, retrofit, upgrade, maintenance, repair, and/or minor alteration of electrical wiring, branch circuit devices, appliances, and equipment on the premises owned or occupied by the applicant. The application must be made by a responsible officer of the firm and contain a description of the premises within which work is to be done under the permit. All work must meet electrical and municipal codes and must be permitted accordingly by the municipality or appropriate state authority.
  2. The scope and size of any work performed under a Certificate PC shall be limited to:
    1. For any project involving a single classroom or a single laboratory, work performed shall not exceed two thousand square feet (2,000 sq. ft.);
    2. For all other projects work performed shall not exceed one thousand two hundred fifty square feet (1,250 sq. ft.);
    3. In no event may a project within a single building or series of buildings, when the project spans multiple locations, be broken into smaller phases to satisfy the square foot limitations as set forth in this section; and
    4. In no event shall any work be performed pursuant to a Certificate PC in any space under construction, which shall mean any room or space  that has been demolished or gutted.
  3. For purposes of this chapter, minor alterations shall include new installation of individual branch circuits within sight or fifty feet (50´).
  4. For purposes of this chapter, all work performed under a Certificate PC pursuant to the terms enumerated herein, shall not be deemed or considered as installation.

History of Section. P.L. 2021, ch. 123, § 1, effective July 2, 2021; P.L. 2021, ch. 126, § 1, effective July 2, 2021.

Compiler's Notes.

P.L. 2021, ch. 123, § 1, and P.L. 2021, ch. 126, § 1 enacted identical versions of this section.

5-6-11. Certificate/license of burnerperson, fire alarm installer, electrical sign installer, lightning-protection installer, and renewable energy professional.

  1. Burnerperson’s license.  A Certificate F shall be granted to any person who has passed an examination before the division of professional regulation. The certificate shall specify the name of the person authorized to install, work on, and repair electric wiring and equipment located in or on burners and other equipment serviced by burner contractors, to the extent only as is necessary to install, service, maintain, and repair those burners and equipment. The license shall limit the holder of a Certificate F to do work on electric wiring or equipment located on those burners and equipment and related components, but in no event to do any electrical work on oil burners burning No. 3, 4, 5, or 6 fuel oil.
  2. Fire alarm installer’s license.  A Certificate BF shall be granted to any person who has passed an examination before the division of professional regulation. The certificate shall specify the name of the person authorized to work on, install, maintain, and test fire alarm systems.
  3. Electrical sign installer’s license.  A Certificate CF shall be granted to any person who has passed an examination before the division of professional regulation. The certificate shall specify the name of the person authorized to install, maintain, work on, and repair electrical signs.
  4. Lightning-protection installer’s license.  A Certificate LPI shall be granted to any person who has passed an examination before the division of professional regulation. The certificate shall specify the name of the person authorized to install, maintain, work on, and repair lightning-protection systems as defined in § 5-6-1 .
  5. Renewable energy professional’s certificate.  The Rhode Island department of labor and training shall issue a certificate of competency in the design and installation of renewable energy systems to any person, firm, or corporation who or that has received a certification from a nationally recognized, or equivalent, renewable energy certification training program and has demonstrated proof of such certification to the Rhode Island office of energy resources.

History of Section. P.L. 1942, ch. 1234, § 7; P.L. 1949, ch. 2270, § 2; G.L. 1956, § 5-6-11 ; P.L. 1963, ch. 198, § 4; P.L. 1985, ch. 181, art. 51, § 1; P.L. 1985, ch. 446, § 1; P.L. 1987, ch. 78, § 14; P.L. 1991, ch. 320, § 1; P.L. 1997, ch. 266, § 1; P.L. 2006, ch. 208, § 1; P.L. 2014, ch. 104, § 1; P.L. 2014, ch. 141, § 1; P.L. 2016, ch. 512, art. 1, § 2; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

5-6-12. Application of certificates for the installation of fire alarm systems, and electrical signs.

“Certificate B” applies to all electrical work including the installation of fire alarm and life safety communications systems and electrical signs.

History of Section. P.L. 1942, ch. 1234, § 7; P.L. 1949, ch. 2270, § 2; G.L. 1956, § 5-6-12 ; P.L. 1985, ch. 446, § 1; P.L. 1991, ch. 320, § 1; P.L. 1997, ch. 266, § 1.

5-6-13. Journeyperson and burnerperson restricted to work as employee of licensee.

  1. Except as provided in § 5-6-14 , a holder of a Certificate B is not entitled to do any work of installing, maintaining, servicing, and testing wires, conduits, apparatus, fixtures, or other appliances for carrying or using electricity for light, heat, or power purposes except as an employee of a holder of a Certificate A, of a Certificate C, or a Certificate D, or unless the holder of a Certificate B is also registered as an electrical contractor and holds a certificate.
  2. A holder of a Certificate F is not entitled to do any work on electric wiring, conduits, apparatus, fixtures, or other appliances for carrying or using electricity for light, heat, or power purposes, except as an employee of a holder of a Certificate E or A unless the holder of a Certificate F is also registered as a burner contractor and holds a Certificate E.
  3. A holder of a Certificate AF is limited to fire alarm, fixtures, equipment for fire alarm purposes only, and life safety equipment only unless the holder of a Certificate AF also holds a Certificate BF.
  4. A holder of a Certificate SCF is limited to electrical sign contracting only. A Certificate CF is required for the actual installation of the electrical sign.
  5. A holder of a Certificate LPC is limited to lightning-protection contracting only. A Certificate LPI is required for the actual installation of the lightning-protection system.

History of Section. P.L. 1942, ch. 1234, § 7; P.L. 1949, ch. 2270, § 2; G.L. 1956, § 5-6-13 ; P.L. 1963, ch. 198, § 5; P.L. 1985, ch. 446, § 1; P.L. 1991, ch. 320, § 1; P.L. 1997, ch. 266, § 1; P.L. 2000, ch. 379, § 1; P.L. 2006, ch. 208, § 1; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

5-6-14. Work on premises covered by limited-premises certificates.

Electricians regularly employed by firms or holders of a Certificate C may install and maintain any electrical wiring, conduits, and appliances, or make any repairs that are required in and on the property of those firms; provided, that a permit has been approved and issued by the municipality to ensure that all code and safety policies are upheld and that electricians holding journeyperson’s licenses are complying with this chapter. Class C certificates are not valid for new external construction projects on a firm’s premises exceeding two thousand (2,000) square feet.

History of Section. P.L. 1942, ch. 1234, § 12; G.L. 1956, § 5-6-14 ; P.L. 1997, ch. 346, § 1.

5-6-15. False statement in applications.

Any person applying for a license and making any misstatement as to his or her experience or other qualifications, or any person, firm, or corporation subscribing to, or vouching for, any misstatement, shall be subject to the penalties prescribed in § 5-6-32 .

History of Section. P.L. 1942, ch. 1234, § 13; G.L. 1956, § 5-6-15 ; P.L. 1963, ch. 198, § 6; P.L. 2019, ch. 308, art. 1, § 6.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-6-16. License fees.

  1. All licenses issued by the division of professional regulation for master electricians, all limited-license electricians, and all journeyperson electricians born in odd years shall expire on the birthday of the individual qualifying for the license in odd years and all licenses of master electricians, all limited-license electricians, and all journeyperson electricians born in even years shall expire on the birthday of the individual qualifying for the license in even years and all licenses may be renewed on or before their expiration date upon payment of the appropriate, biennial renewal fee.
  2. A fee of two hundred forty dollars ($240) shall be paid by each applicant for an electrical contractor’s license Class A; seventy-two dollars ($72.00) for a journeyperson electrician’s license Class B; two hundred forty dollars ($240) for a limited-premises license Class C; two hundred forty dollars ($240) for a burner contractor’s license Class E; seventy-two dollars ($72.00) for a burnerperson’s license Class F; two hundred forty dollars ($240) for a fire alarm contractor’s license Class AF; seventy-two dollars ($72.00) for a fire alarm installer’s license Class BF; two hundred forty dollars ($240) for an electrical sign contractor’s license SCF; seventy-two dollars ($72.00) for a sign installer’s license Class CF; and two hundred forty dollars ($240) for a limited-maintenance license Class D.
  3. A fee of two hundred forty dollars ($240) shall be paid by each applicant for a lightning-protection contractor’s license Class LPC.
  4. A fee of seventy-two dollars ($72.00) shall be paid by each applicant for a lightning-protection installer’s license LPI.
  5. A fee of seventy-two dollars ($72.00) shall be paid by each applicant for a sign renovation electrical license.

History of Section. P.L. 1942, ch. 1234, § 4; G.L. 1956, § 5-6-16 ; P.L. 1960, ch. 76, § 3; P.L. 1963, ch. 198, § 6; P.L. 1975, ch. 85, § 1; P.L. 1979, ch. 21, § 1; P.L. 1981, ch. 333, § 1; P.L. 1985, ch. 446, § 1; P.L. 1987, ch. 248, § 1; P.L. 1991, ch. 320, § 1; P.L. 1997, ch. 266, § 1; P.L. 2000, ch. 379, § 1; P.L. 2002, ch. 65, art. 13, § 3; P.L. 2006, ch. 208, § 1; P.L. 2009, ch. 257, § 4; P.L. 2009, ch. 258, § 4; P.L. 2009, ch. 310, § 25; P.L. 2014, ch. 417, § 1; P.L. 2014, ch. 466, § 1; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

Effective Dates.

P.L. 2009, ch. 257, § 6, provides that the amendment to this section by that act takes effect upon passage [November 12, 2009] and provides that for persons born in an even year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2010; for persons born in an odd year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2011.

P.L. 2009, ch. 258, § 6, provides that the amendment to this section by that act takes effect upon passage [November 13, 2009] and provides that for persons born in an even year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2010; for persons born in an odd year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2011.

5-6-17. Application for examination — Fee.

Persons desiring an examination shall make written application on the state-approved form for the examination accompanied by the proper fee, which is seventy-five dollars ($75.00).

History of Section. P.L. 1942, ch. 1234, § 7; P.L. 1949, ch. 2270, § 3; G.L. 1956, § 5-6-17 ; P.L. 1963, ch. 198, § 6; P.L. 1975, ch. 85, § 1; P.L. 1984, ch. 80, § 1; P.L. 1985, ch. 181, art. 51, § 1; P.L. 1987, ch. 248, § 1; P.L. 2002, ch. 65, art. 13, § 3; P.L. 2004, ch. 595, art. 13, § 1.

5-6-18. Preservation of applications and examination papers.

Examination papers and applications for certificates under the provisions of this chapter shall be preserved for at least three (3) years, after which time they may, at the discretion of the division of professional regulation, be destroyed.

History of Section. P.L. 1942, ch. 1234, § 7; P.L. 1949, ch. 2270, § 5; G.L. 1956, § 5-6-18 ; P.L. 1963, ch. 198, § 6; P.L. 1985, ch. 181, art. 51, § 1.

5-6-19. Display of licenses.

  1. Holders of Licenses B, F, BF, CF, M, A, E, AF, SCF, LPC, and LPI shall be furnished by the division of professional regulation with evidence of having been licensed in card form or otherwise, which shall be carried on the person of the licensee and exhibited on request.
  2. Any sign, listing, or advertisement of any type of a holder of those licenses shall contain the holder’s name, address, and license number; provided, only those persons, firms, or corporations who or that are holders of a Class A license shall be permitted to advertise for the employment of journeyperson or electrical apprentices.

History of Section. P.L. 1942, ch. 1234, § 7; P.L. 1949, ch. 2270, § 5; G.L. 1956, § 5-6-19 ; P.L. 1963, ch. 198, § 6; P.L. 1981, ch. 318, § 1; P.L. 1982, ch. 392, § 1; P.L. 1985, ch. 181, art. 51, § 1; P.L. 1985, ch. 446, § 1; P.L. 1991, ch. 320, § 1; P.L. 1997, ch. 266, § 1; P.L. 2003, ch. 166, § 1; P.L. 2003, ch. 168, § 1; P.L. 2006, ch. 208, § 1; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

5-6-20. Expiration and renewal of certificates and licenses.

  1. All certificates and/or licenses issued by the division of professional regulation expire on the birthday of the individual qualifying for the certificate and/or license and may be renewed on or after that date for a period of two (2) years upon payment of the appropriate renewal fee, which shall be equal to the license fees prescribed in § 5-6-16 , plus outstanding license fees and a twelve dollar ($12.00) per-month administrative assessment fee for the delinquency period.
  2. Notwithstanding any other provisions of this chapter, any license issued under this chapter that is not renewed within two (2) years of the date of its expiration, shall be deemed to be forfeited, and the person to whom the license has been issued shall be required to make written application for an examination prior to the issuance of a new license.

History of Section. P.L. 1942, ch. 1234, § 7; P.L. 1949, ch. 2270, § 4; G.L. 1956, § 5-6-20 ; P.L. 1960, ch. 76, § 3; P.L. 1963, ch. 198, § 6; P.L. 1975, ch. 85, § 1; P.L. 1981, ch. 333, § 1; P.L. 1985, ch. 446, § 1; P.L. 1987, ch. 248, § 1; P.L. 1992, ch. 56, § 1; P.L. 2002, ch. 65, art. 13, § 3.

5-6-20.1. Mandatory continuing education.

  1. On or before January 1, 1996, the board of examiners of electricians shall, by regulation, establish a mandatory continuing education program for all persons licensed under this chapter. The program is designed to ensure current competency in each licensee’s area of certification and/or licensing.
  2. On and after January 1, 1997, no license under this chapter shall be renewed unless the licensee demonstrates, in a manner prescribed by the board of examiners of electricians, that he or she has successfully completed at least fifteen (15) clock hours of continuing education pursuant to and in compliance with the mandatory continuing education program established under this section.
  3. The course of study to be conducted over the fifteen-clock-hour (15) period shall be approved by the board of examiners of electricians. Course providers may include, but not be limited to, vocational schools, association seminars, labor training programs, employee training programs, and private instructors or inspectors and must also be approved by the building commissioner’s office. Instructors or inspectors shall be Rhode Island licensed electrical contractors employed by or about to be employed by the providers and be board approved.
  4. The mandatory continuing education requirement is limited to Class A and Class B electricians.
  5. Out-of-state residents who hold a Rhode Island electrical license are allowed to submit a fifteen-hour (15) continuing education credit from their state if it meets the Rhode Island requirements and their state recognizes the Rhode Island continuing education certificates.
  6. Upon completion of the fifteen-clock-hour (15) course, an approved uniform certificate of completion shall be issued. Licensees are required to submit this verification of completion for license renewal. The continuing education credits shall be included in the currently adopted edition of the National Electrical Code and the International Code Council (ICC) national codes.
  7. Only those approved instructors actually teaching a fifteen-clock-hour (15) course shall be exempt from attending the fifteen-hour (15) course.

History of Section. P.L. 1995, ch. 234, § 1; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

5-6-21. Certificates expiring while licensee is in federal service.

  1. Any certificate expiring while the holder of the certificate is in the military, naval, or air service of the United States shall be renewed without further examination, upon payment of the prescribed fee, at any time within four (4) months after that person’s discharge from the service.
  2. Any certificate expiring while the holder of the certificate is outside the continental limits of the United States in connection with any project undertaken by the government of the United States shall be renewed without further examination, upon payment of the prescribed fee, at any time within four (4) months after that person’s return to the United States.

History of Section. P.L. 1942, ch. 1234, § 7; P.L. 1946, ch. 1767, § 2; G.L. 1956, § 5-6-21 .

Cross References.

Extension to merchant marine, § 30-22-2 .

Veteran’s certificate, renewal on discharge, § 30-20-1 .

5-6-22. Board of examiners meeting records — Manual of regulations.

Records of the meetings of the board of examiners of electricians shall be open for inspection at all times, and the division of professional regulation, with the assistance of the board, shall have printed annually a manual of its regulations, including the names of all licensees.

History of Section. P.L. 1942, ch. 1234, § 7; G.L. 1956, § 5-6-22 ; P.L. 1985, ch. 181, art. 51, § 1.

5-6-23. Certificates not transferable — Suspension or revocation of certificates — Subpoena of evidence.

No certificates issued under this chapter shall be assignable or transferable. Certificates issued under this chapter may, after a hearing before and upon the recommendation of the board of examiners of electricians, be suspended or revoked by the director of labor and training, upon failure or refusal of the licensee to comply with the rules and requirements of the division of professional regulation or for other sufficient cause. The board of examiners of electricians is authorized and empowered to administer oaths, require the attendance of witnesses by subpoena, and require the production of books, papers, and documents at any hearing upon appeal from any actions of the division or its administrator.

History of Section. P.L. 1942, ch. 1234, § 8; P.L. 1946, ch. 1767, § 3; G.L. 1956, § 5-6-23 ; P.L. 1985, ch. 181, art. 51, § 1; P.L. 1992, ch. 58, § 1.

5-6-24. Apprentices — Registration.

  1. This chapter does not forbid the employment of one properly limited-registered apprentice electrician working with and under the direct personal supervision of a licensed journeyperson electrician. Additionally, this chapter does not forbid the employment of: (1) One properly registered apprentice burnerperson working with and under the direct personal supervision of a licensed burnerperson; (2) One properly registered apprentice fire alarm installer working with and under the direct personal supervision of a licensed fire alarm installer; (3) Two (2) properly registered apprentice electrical sign installers working with and under the direct personal supervision of a licensed electrical sign installer; (4) One properly registered apprentice maintenance electrician working with and under the direct personal supervision of a valid Class C or Class D license holder; or (5) One properly registered apprentice lightning-protection installer working with and under the direct personal supervision of a licensed lightning-protection installer (LPI). Apprentices are required to register with the division of professional regulation immediately upon employment with a properly licensed electrical contractor or lightning-protection contractor.
  2. Indentured apprentice electricians are required to work a minimum of eight thousand (8,000) hours over a period of time of not less than four (4) years and successfully complete one hundred forty-four (144) hours of related instruction per year in an indentured apprenticeship program approved by the Rhode Island department of labor and training, to qualify for the journeyperson “B” electrician examination; provided, however, apprentices may receive credit for one hundred forty-four (144) hours of classroom training gained in a vocational school authorized by the board of education, or a maximum of two hundred eighty-eight (288) hours of classroom training gained over two (2) academic years (one hundred forty-four (144) per academic year), upon the successful completion of a course of study in a fully accredited trade school that has been approved by the Rhode Island office of postsecondary commissioner and by the Rhode Island department of labor and training apprenticeship council. Provided, that the test applicant has possessed, for at least four (4) years prior to the filing of the application, a certificate of registration in full force and effect from the department of labor and training of Rhode Island specifying the person as an indentured apprentice, and the application of an applicant is accompanied by an affidavit or affidavits of his or her employer or former employers or other reasonably satisfactory evidence showing that the applicant has been actually engaged in electrical work as an apprentice in Rhode Island during those four (4) years; or the application is accompanied by an affidavit or other reasonably satisfactory evidence showing that the applicant has successfully completed a course of study in a recognized college or university and has pursued a course of electrical technology for at least two (2) academic years or is the recipient of an associate degree in electrical technology, and has thereafter been indentured by the department of labor and training as an apprentice for at least four (4) years and employed as an indentured apprentice by a duly licensed electrician master in this state for a period of four (4) years; or a showing that the applicant possesses a certificate of license issued under the laws of another state, based on training equal to that required by the state of Rhode Island. Limited-registered apprentice electricians shall be required to work a minimum of four thousand (4,000) hours over a period of time of not less than two (2) years.
  3. Indentured apprentice maintenance electricians are required to work a minimum of six thousand (6,000) hours over a period of time of not less than three (3) years and successfully complete one hundred forty-four (144) hours of related instruction per year in an indentured apprenticeship program approved by the Rhode Island department of labor and training, to qualify for the journeyperson “M” electrician examination. Provided, however, that the test applicant has possessed for at least three (3) years prior to the filing of the application a certificate of registration in full force and effect from the department of labor and training specifying the person as an indentured apprentice, and the application of an applicant is accompanied by an affidavit or affidavits of his or her employer or former employers or other reasonably satisfactory evidence showing that the applicant has been actually engaged in electrical work as an apprentice in Rhode Island during those three (3) years. Class M journeyperson electricians may qualify to take the journeyperson “B” electrician examination upon registering as a fourth-year apprentice and becoming employed by a properly licensed Class A electrical contractor for that period of time.
  4. Apprentice lightning-protection installers are required to work a minimum of four thousand (4,000) hours over a period of time of not less than two (2) years to qualify for the lightning-protection installer (LPI) examination. Provided, that the test applicant has possessed for at least two (2) years prior to the filing of the application a certificate of registration in full force and effect from the department of labor and training specifying the person as an apprentice lightning-protection installer, and the application of an applicant is accompanied by an affidavit or affidavits of his or her employer or former employers or other reasonably satisfactory evidence showing that the applicant has been actually engaged in lightning-protection work as an apprentice during those two (2) years.

History of Section. P.L. 1942, ch. 1234, § 12; P.L. 1953, ch. 3152, § 3; G.L. 1956, § 5-6-24 ; P.L. 1963, ch. 198, § 6; P.L. 1978, ch. 161, § 1; P.L. 1985, ch. 181, art. 51, § 1; P.L. 1985, ch. 446, § 1; P.L. 1990, ch. 127, § 1; P.L. 1990, ch. 242, § 1; P.L. 1992, ch. 57, § 1; P.L. 1998, ch. 279, § 1; P.L. 1998, ch. 342, § 1; P.L. 1999, ch. 70, § 1; P.L. 2005, ch. 339, § 1; P.L. 2005, ch. 417, § 1; P.L. 2006, ch. 208, § 1; P.L. 2008, ch. 291, § 2; P.L. 2008, ch. 413, § 2; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1; P.L. 2017, ch. 302, art. 13, § 1; P.L. 2021, ch. 186, § 1, effective June 30, 2022; P.L. 2021, ch. 187, § 1, effective June 30, 2022.

Compiler's Notes.

P.L. 2021, ch. 186, § 1, and P.L. 2021, ch. 187, § 1 enacted identical amendments to this section.

Delayed Effective Dates.

P.L. 2021, ch. 186, § 2, provides that the amendment to this section by that act takes effect on June 30, 2022.

P.L. 2021, ch. 187, § 2, provides that the amendment to this section by that act takes effect on June 30, 2022.

5-6-24.1. Apprentices certified by other states.

Any apprentice electrician holding an apprentice certificate, license, or equivalent document issued by another state shall register with and obtain the approval of the division of professional regulation in the department of labor and training prior to being permitted to work or serve as an electrician’s apprentice in this state. Provided, no approval shall be granted unless the applicant demonstrates to the board that the applicant is currently enrolled in one hundred forty-four (144) hours of electrical-related classroom instruction per year for not less than four (4) years in an indentured apprenticeship program approved by the department of labor and training.

History of Section. P.L. 1999, ch. 458, § 1; P.L. 1999, ch. 466, § 1.

5-6-25. Compliance with rules and requirements of city or town.

All electrical work covered in this chapter that is done in the state of Rhode Island and/or any city or town having rules and requirements for that work shall be done in accordance with those rules and requirements. Failure of any licensee to do that work in that manner, or his or her failure or refusal to correct the work with reasonable promptness after notice by local inspection or enforcement authorities where the notice is required by law, when reported to the division of professional regulation, shall be grounds for suspension or revocation of the license, in the discretion of the division, after proper notice and a hearing before and upon the recommendation of the board of examiners of electricians to the director of labor and training.

History of Section. P.L. 1942, ch. 1234, § 10; G.L. 1956, § 5-6-25 ; P.L. 1985, ch. 181, art. 51, § 1; P.L. 1992, ch. 58, § 1; P.L. 2005, ch. 338, § 1.

5-6-26. Compliance with requirements of division or of electric company.

All electrical work shall be done in accordance with any rules and requirements that are specified by the division of professional regulation, or subject to its approval, by the public utilities having authority to supply electricity in the place where the work is done. Any rules made or approved shall be based upon the current adopted edition of the “National Electrical Code” with any changes or additions that are deemed required. Failure of any licensee to do the work in that manner shall be considered grounds for suspension or revocation of the license, in the discretion of the division, after notice and a hearing before the board of examiners of electricians, and upon recommendation to the director of labor and training.

History of Section. P.L. 1942, ch. 1234, § 10; G.L. 1956, § 5-6-26 ; P.L. 1985, ch. 181, art. 51, § 1; P.L. 1992, ch. 58, § 1; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

5-6-27. Disposition of fees — Annual report.

The division shall report annually to the general assembly in the month of January a detailed statement of its receipts and disbursements during the year with a statement of its acts and proceedings and any recommendations that the division deems proper. All proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues. Commissioners and board members shall not be compensated for attendance at board meetings, but reimbursement for costs and expenses of board members and commissioners shall continue.

History of Section. P.L. 1942, ch. 1234, § 6; P.L. 1947, ch. 1842, § 1; P.L. 1953, ch. 3152, § 2; G.L. 1956, § 5-6-27 ; P.L. 1964, ch. 222, § 1; P.L. 1978, ch. 289, § 1; P.L. 1981, ch. 218, § 1; P.L. 1985, ch. 181, art. 51, § 1; P.L. 1987, ch. 473, § 1; P.L. 1989, ch. 126, art. 27, § 2; P.L. 1995, ch. 370, art. 40, § 6; P.L. 2003, ch. 202, § 1; P.L. 2003, ch. 426, § 1; P.L. 2005, ch. 117, art. 21, § 2.

5-6-28. Penalties for unlicensed work.

Any person, firm, association, corporation, or employee of any person, firm, association, or corporation, and any representative, member, or officer of any firm, association, or corporation individually entering upon or engaging in the previously defined business and work, without having complied with the provisions of this chapter, shall be assessed penalties pursuant to § 5-6-32 .

History of Section. P.L. 1942, ch. 1234, § 9; G.L. 1956, § 5-6-28 ; P.L. 1990, ch. 177, § 1; P.L. 1999, ch. 114, § 1; P.L. 2002, ch. 379, § 1; P.L. 2005, ch. 410, § 1.

5-6-29. Persons and work exempt.

  1. The provisions of this chapter do not apply to:
    1. The electrical work and equipment for the generation and primary distribution of electric current, or the secondary distribution system up to and including the meters, where that work and equipment is an integral part of the system owned and operated by an electric light and power company in rendering its authorized service; or to the electrical work and electrical equipment employed in connection with the manufacture and distribution of gas, where that work and equipment is an integral part of the system owned and operated by a gas company in rendering its authorized service.
    2. The electrical work and equipment employed in connection with the operation of signals, or the transmission of intelligence, where that work and equipment is an integral part of the communication system owned and operated by a municipality or by a telegraph or telephone company, or any community antenna television system (CATV) subject to regulation under title 39 by the division of public utilities or any subcontractor of a CATV system, including the work of a telephone company of installing, repairing, or replacing all wiring on the load side of the last fused distribution point, and all of the emergency wiring installed, replaced, or repaired by a telephone company; or any community antenna television system (CATV) subject to regulation under title 39 by the division of public utilities or any subcontractor of such CATV system.
    3. The electrical work and equipment in mines, ships, railway rolling stock, or automotive equipment, or devices subject to the provisions of chapter 33 of title 23.
    4. Any work involved in the manufacture, test, or repair of electrical equipment in the manufacturer’s plant, but not including any electrical wiring other than that required for testing purposes.
  2. This chapter does not apply to installations in suitable laboratories of exposed electrical wiring for experimental purposes only.
  3. This chapter does not forbid the installation of electrical work in a single-family or two-family dwelling on the immediate premises of the dwelling by the owner of the dwelling if living on, or about to live on, the premises.
  4. This chapter does not apply to any person who now holds or subsequently holds a hoisting engineer’s license issued by the state and who excavates for and installs underground conduits; provided, that hoisting engineers shall be prohibited from installing electrical wiring and/or making the service connection of any such electrical wires and/or cables. A city, town, or such other authorized official shall issue a building permit to a licensed hoisting engineer for excavation and installation of such underground conduits upon submission of a completed application to the appropriate building official; provided, that a building permit will not be required if the work is performed for an electric-distribution company.
  5. This chapter shall not apply to any person, firm, partnership, corporation, limited-liability company, or other business entity who or that holds or subsequently holds a certificate of registration as required by the Rhode Island department of environmental management for work in the operation, installation, maintenance, servicing, and testing of onsite wastewater treatment systems and its equipment and related components; provided, however, this shall not permit any electric wiring or equipment maintenance between the electric meter and the onsite wastewater treatment system.

History of Section. P.L. 1942, ch. 1234, § 11; P.L. 1943, ch. 1263, § 1; P.L. 1943, ch. 1381, § 1; G.L. 1956, § 5-6-29 ; P.L. 1989, ch. 63, § 1; P.L. 1989, ch. 142, § 2; P.L. 1997, ch. 266, § 1; P.L. 2001, ch. 214, § 1; P.L. 2003, ch. 227, § 1; P.L. 2003, ch. 360, § 1; P.L. 2006, ch. 208, § 1; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1.

Cross References.

Hoisting engineers, § 28-26-1 et seq.

5-6-30. [Repealed.]

History of Section. P.L. 1963, ch. 198, § 7; Repealed by P.L. 1985, ch. 181, art. 51, § 2, effective July 1, 1985.

Compiler’s Notes.

Former § 5-6-30 concerned certification of certain oil burnermen without examination.

5-6-31. [Repealed.]

History of Section. P.L. 1985, ch. 446, § 2; Repealed by P.L. 1991, ch. 320, § 3, effective June 17, 1991.

Compiler’s Notes.

Former § 5-6-31 concerned certification of fire alarm contractors and fire alarm installers without examination.

5-6-32. Authority of director to assess penalty.

  1. The director may assess an administrative penalty on any person, firm, or corporation for any violation of the provisions of this chapter, after notice and a hearing, before and upon the recommendation of the board of examiners of electricians in the amount of one thousand five hundred dollars ($1,500) for the first violation and two thousand dollars ($2,000) for a subsequent violation. Each individual person acting in violation of the provisions of this chapter shall constitute a separate offense to any person, firm, or corporation assessed a penalty under this section. All funds collected by the labor and training department under this section shall be placed in the restricted receipts account created pursuant to § 28-22-1.1 . This section is in addition to any other action provided by law for violations of this chapter.
  2. The chief of the section shall act as an investigator with respect to the enforcement of all the provisions of law relative to the licensing of electricians and, to this effect, whenever a complaint is made by the chief of the section to the director of the department of labor and training, or his or her designee, that the provisions of this chapter are being violated, the director of the department of labor and training, or his or her designee, may issue an order to cease and desist from that violation and may impose the above penalties against the violator and against the contractor.

History of Section. P.L. 1989, ch. 414, § 1; P.L. 1990, ch. 177, § 1; P.L. 1992, ch. 58, § 1; P.L. 2002, ch. 379, § 1; P.L. 2017, ch. 122, § 1; P.L. 2017, ch. 137, § 1; P.L. 2017, ch. 302, art. 13, § 5; P.L. 2017, ch. 407, § 1; P.L. 2017, ch. 432, § 1.

Cross References.

Penalties for nonpayment, § 28-22-2 .

5-6-33. Enforcement of the chapter — Prosecution.

The director of labor and training has authority to enforce the provisions of this chapter, either by the use of administrative penalties pursuant to § 5-6-32 , and/or by complaint made by the director of labor and training to the attorney general, whose duty it is to prosecute all violations of this chapter upon complaint made by the director of labor and training.

History of Section. P.L. 1989, ch. 414, § 1.

5-6-34. Certification of electric sign contractors and electric sign installers.

  1. After July 1, 1991, and at any time prior to January 1, 1992, the division shall, without examination, upon payment of the fees provided in this chapter, issue a “certificate ACF” or “certificate CF” to any applicant for the certificate who presents satisfactory evidence that he or she has the qualifications for the type of license applied for, and who has been engaged in the occupation or business of installing, servicing, maintaining, and testing of electric signs covered by the license within this state for a period of five (5) years in the case of a “certificate ACF” and three (3) years in the case of a “certificate CF” prior to July 1, 1991. Any person who, being qualified to obtain a “certificate ACF” or “certificate CF” under this section, is prevented from making application for it because of service in the armed forces of the United States during the period between July 1, 1991, and January 1, 1992, has three (3) months after discharge to make an application. No person is liable for prosecution for making electric sign installations, services, maintenance, or tests, without a license for the first six (6) months after July 1, 1991.
  2. Any apprentice having completed a training period of not less than two (2) years is eligible to take a journeyperson’s examination; provided, after September 1, 1995, and at any time prior to March 1, 1996, any apprentice employed and sponsored by a sign company is eligible to take a journeyperson’s examination, notwithstanding the previously mentioned training period.

History of Section. P.L. 1991, ch. 320, § 2; P.L. 1995, ch. 355, § 1.

Chapter 7 Employment Agencies

5-7-1. License and regulation by local authorities.

The board of police commissioners or other similar authority of any city or town, and in any city or town where there is no board of police commissioners or similar authority, the city council or the town council, may:

  1. License suitable persons as keepers of intelligence or employment offices for the purpose of obtaining employment, or furnishing information concerning places of employment, of domestics, servants, laborers, and any other classes of employees, except seapersons, or for the purpose of procuring or giving information concerning those persons for or to employers, or for the purpose of procuring or giving information generally concerning employment in business;
  2. Issue different classes of those licenses for all or any of those purposes, fix the amount or amounts to be paid for the license or licenses, and revoke any of those licenses at pleasure; and
  3. Make rules and regulations governing those offices and the conduct of those offices and the business pertaining to them or transacted in them, and the charges for obtaining employment for any persons or furnishing that information to any persons.

History of Section. G.L. 1896, ch. 40, § 18; G.L. 1909, ch. 50, § 18; P.L. 1915, ch. 1233, § 1; G.L. 1923, ch. 51, § 18; G.L. 1938, ch. 333, § 18; G.L. 1956, § 5-7-1 .

Cross References.

Fair Employment Practices Act, refusal to post, § 28-5-37 .

Unlawful employment practices, § 28-5-7 .

Comparative Legislation.

Employment agencies:

Conn. Gen. Stat. § 31-129 et seq.

Mass. Ann. Laws ch. 140, § 46A et seq.

Collateral References.

Constitutionality of statute regulating employment agencies. 20 A.L.R.3d 599.

Construction and operation of fee payment provisions of employment agency contract. 61 A.L.R.3d 375.

Failure to obtain occupational or business license as defense to tort action. 13 A.L.R.2d 157.

Unlicensed agency’s right to recover for services. 30 A.L.R. 863; 42 A.L.R. 1226; 118 A.L.R. 646.

5-7-2. Penalty for establishment of office without license — Public agencies exempt.

Whoever without a license to do so establishes or keeps an intelligence or employment office for any of the purposes specified in this chapter, upon conviction, shall be fined ten dollars ($10.00) for each day the office is kept; and any person violating any of those rules or regulations, upon conviction, shall be fined not exceeding twenty dollars ($20.00) for each offense; provided, that this chapter does not apply to any employment office established by the state or federal government.

History of Section. G.L. 1896, ch. 40, § 18; G.L. 1909, ch. 50, § 18; P.L. 1915, ch. 1233, § 1; G.L. 1923, ch. 51, § 18; G.L. 1938, ch. 333, § 18; G.L. 1956, § 5-7-2 .

5-7-3. Bond for payroll and other taxes.

It is unlawful for anyone to establish or keep an intelligence or employment office pursuant to this chapter without giving a bond to the department of administration’s division of taxation in the amount of fifty thousand dollars ($50,000) with surety for payroll and other taxes. Any temporary employment service, defined for the purposes of this chapter as an organization that hires its own employees and assigns them to clients to support or supplement the client’s work force in work situations including, but not limited to, employee absences, temporary skill shortages, seasonal workloads, and special assignments and projects, that have been certified by the division of taxation for at least two (2) years as of July 8, 1997, shall be exempt from the bonding requirements of this section. The provisions of this section only apply to those employment service organizations that generate a payroll, and do not apply to so called “permanent” employment agencies.

History of Section. P.L. 1997, ch. 210, § 1; P.L. 1999, ch. 214, § 1; P.L. 2000, ch. 380, § 1.

Chapter 8 Engineers

5-8-1. Registration required for practice of engineering.

In order to safeguard life, health, and property, and to promote the public welfare, the practice of engineering in this state is declared to be subject to regulation in the public interest. It is unlawful for any person to practice, or to offer to practice, engineering in this state, as defined in the provisions of this chapter, 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 registered or exempted under the provisions of this chapter. The right to engage in the practice of engineering is deemed a personal right, based on the qualifications of the individual as evidenced by his or her certificate of registration, which is not transferable.

History of Section. P.L. 1990, ch. 330, § 2.

Repealed Sections.

Former chapter 8 (P.L. 1938, ch. 2611, §§ 1-8, 10-16, 18, 20-25; G.L. 1938, ch. 400, §§ 1-8, 10-25; G.L. 1956, §§ 5-8-1 5-8-1 6, 5-8-20 — 5-8-36; P.L. 1962, ch. 78, § 1; P.L. 1976, ch. 298, § 1; P.L. 1978, ch. 220, § 1; P.L. 1980, ch. 354, § 1; P.L. 1984, ch. 50, § 1; P.L. 1985, ch. 181, art. 57, § 1), consisting of §§ 5-8-1 — 5-8-23 and concerning engineers and land surveyors, was repealed by P.L. 1990, ch. 330, § 1, effective July 1, 1990. For provisions concerning engineers, see this same chapter. For provisions concerning land surveyors, see chapter 8.1 of this title.

Cross References.

Architectural work incident to practice of engineering, § 5-1-14 .

Corporations for practice, § 7-5.1-1 et seq.

Hoisting engineers, § 28-26-1 et seq.

Comparative Legislation.

Engineers:

Conn. Gen. Stat. § 20-299 et seq.

Mass. Ann. Laws ch. 112, § 81D et seq.

NOTES TO DECISIONS

Expert Witnesses.

The statutory language in this chapter describing what actions are contemplated by the phrase “practice of engineering” does not include the giving of testimony as an expert in a court of law. A witness can give an expert opinion in the field of engineering without first being licensed by the state. Owens v. Payless Cashways, 670 A.2d 1240, 1996 R.I. LEXIS 27 (R.I. 1996).

The clear language of § 9-19-42 requires that if the statute governing the registration and licensing of engineers was in existence at the time that the Rules of Evidence were adopted, then Rule 702 takes precedence over any then existing inconsistent provisions of this chapter in determining who may qualify as an expert witness. Owens v. Payless Cashways, 670 A.2d 1240, 1996 R.I. LEXIS 27 (R.I. 1996).

Collateral References.

Building contracts, plans and specifications furnished by engineer, responsibility of contractor for defects or insufficiency of work attributable to. 6 A.L.R.3d 1394.

Failure to obtain occupational or business license or permit as defense to tort action. 13 A.L.R.2d 157.

Professional corporations, issues pertaining to ownership affected by resignation from corporate practice by active shareholder. 32 A.L.R.4th 921.

Recovery back of money paid to unlicensed person required by law to have occupational or business license or permit to make contract. 74 A.L.R.3d 637.

5-8-2. Definitions.

As used or within the intent of this chapter:

  1. “Accredited program” means specific engineering curricula within established institutions of higher learning that have both met the criteria of, and have been designated by, the following commissions of the Accreditation Board for Engineering and Technology, Inc. (“ABET”): the Engineering Accreditation Commission (“ABET-EAC”) and the Engineering Technology Accreditation Commission (“ABET-ETAC”).
  2. “Board” means the state board of registration for professional engineers subsequently provided by this chapter.
  3. “Department” means the department of business regulation.
  4. “Director” means the director of the department of business regulation or his or her designee.
  5. “Engineer” means a person who, by reason of his or her 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, is qualified to practice engineering, as subsequently defined, and as attested by his or her registration as an engineer.
  6. “Engineer-in-training” means a person who complies with the requirements for education, experience, and character, and has passed an examination in the fundamental engineering subjects, as provided in §§ 5-8-11 and 5-8-13 .
  7. “National Council of Examiners for Engineering and Surveying (NCEES)” is a nationally recognized organization that assists state boards and territorial boards to better discharge their duties and responsibilities in regulating the practice of engineering and land surveying.
    1. “Practice of engineering” means 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 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 specifications; and embracing those services or work in connection with any public or private utilities, structures, buildings, machines, equipment, processes, work, or projects in which the public welfare or the safeguarding of life, health, or property is concerned.
    2. Any person shall be construed to practice or offer to practice engineering, within the meaning and intent of this chapter, who:
      1. Practices any branch of the profession of engineering;
      2. By verbal claim, sign, advertisement, letterhead, card, or in any other way represents himself 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
      3. Holds himself or herself out 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.
  8. “Professional engineer” means a person who has been registered and licensed by the state board of registration for professional engineers.
  9. “Responsible charge” means direct control and personal supervision of engineering work.
  10. “Rules and regulations” means that document of the same title, as amended from time to time, subject to the director’s approval, that has been adopted by the board and filed with the secretary of state in accordance with §§ 42-35-3(a), 42-35-4(b) , and 5-8-8 .

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1; P.L. 2007, ch. 420, § 1; P.L. 2013, ch. 298, § 2; P.L. 2013, ch. 378, § 2; P.L. 2021, ch. 162, art. 9, § 1, effective July 6, 2021.

Compiler’s Notes.

Section 42-35-3 , referred to in this section, was amended by P.L. 2016, ch. 203, § 2, and P.L. 2016, ch. 206, § 2, effective June 29, 2016. Comparable provisions are now found in chapter 35 of title 42.

NOTES TO DECISIONS

Expert Witnesses.

The statutory language in this chapter describing what actions are contemplated by the phrase “practice of engineering” does not include the giving of testimony as an expert in a court of law. A witness can give an expert opinion in the field of engineering without first being licensed by the state. Owens v. Payless Cashways, 670 A.2d 1240, 1996 R.I. LEXIS 27 (R.I. 1996).

The clear language of § 9-19-42 requires that if the statute governing the registration and licensing of engineers was in existence at the time that the Rules of Evidence were adopted, then Rule 702 takes precedence over any then existing inconsistent provisions of this chapter in determining who may qualify as an expert witness. Owens v. Payless Cashways, 670 A.2d 1240, 1996 R.I. LEXIS 27 (R.I. 1996).

Collateral References.

Conclusiveness of certificate or decision of engineer under construction contract. 54 A.L.R. 1255.

5-8-3. Board — Creation — Duties — Composition — Appointments — Terms.

  1. The duty of the board of engineers is to administer those provisions of this chapter that relate to the regulation of professional engineering and the registration of professional engineers.
  2. Subject to the approval of the director, the board of engineers shall establish any rules and regulations for the conduct of its own proceedings; for examination of applicants; for registration of professional engineers and engineers-in-training; for continuing education requirements; for investigating complaints to the board; and for governing the practice of engineering all that it deems appropriate.
    1. Members of the board are subject to the provisions of chapter 14 of title 36. The board consists of five (5) persons, who are appointed by the governor, and must have the qualifications required by § 5-8-4 . Each member of the board shall receive a certificate of his or her appointment from the governor and shall file with the secretary of state his or her written oath or affirmation for the faithful discharge of his or her official duty. Appointments to the board shall be in the manner and for a period of time that the term of each member expires at a different time. On the expiration of the term of any member, the governor shall, in the manner previously provided, appoint for a term of five (5) years a registered professional engineer having the qualifications required in § 5-8-4 . A member may be reappointed to succeed himself or herself, but shall not serve more than two (2) full, consecutive terms. Each member may hold office until the expiration of the term for which appointed or until a successor has been appointed and has qualified.
    2. The board shall designate and establish a system of registration by discipline not later than December 31, 1994, and shall subsequently administer that registration system.
    3. The registration system shall provide, at a minimum, for the registration of:
      1. Civil engineers;
      2. Chemical engineers;
      3. Electrical engineers;
      4. Mechanical engineers;
      5. Structural engineers;
      6. Environmental engineers; and
      7. Fire protection engineers.
    4. The board may establish additional classifications by rule and regulation subject to the approval of the director.
    5. Classification of disciplines shall conform to the standards established by the NCEES. Nothing in this section shall be construed to limit the registration of a qualified applicant to only one discipline.
  3. [Deleted by P.L. 2015, ch. 82, § 4 and P.L. 2015, ch. 105, § 4].

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1; P.L. 2007, ch. 420, § 1; P.L. 2013, ch. 298, § 2; P.L. 2013, ch. 378, § 2; P.L. 2015, ch. 82, § 4; P.L. 2015, ch. 105, § 4.

5-8-4. Board — Member qualifications.

The board of engineers shall consist of five (5) persons. All five (5) persons must be professional engineers registered in Rhode Island, one of whom may also be a professional land surveyor registered in the state. Each member of the board must be a qualified elector of this state for three (3) consecutive years prior to appointment. Each member shall have been engaged in the lawful practice of engineering for at least twelve (12) years and been in responsible charge of engineering work for at least five (5) years. The professional engineer members of the state board of registration for professional engineers serving on February 1, 1991, shall complete their terms of appointment. Upon the expiration of their terms, the governor may make subsequent appointments as subsequently provided.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1; P.L. 2007, ch. 420, § 1.

5-8-5. Board — Compensation and expenses of members.

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 this chapter.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1; P.L. 2005, ch. 117, art. 21, § 3.

5-8-6. Board — Removal of members — Vacancies.

The governor may remove any member of the board for misconduct, incompetency, neglect of duty, or for any sufficient cause, in the manner prescribed by law for removal of state officials. Vacancies in the membership of the board shall be filled for the unexpired term by appointment by the governor as provided in § 5-8-3 .

History of Section. P.L. 1990, ch. 330, § 2.

5-8-7. Board — Organization — Meetings — Quorum.

The board shall hold at least six (6) regular meetings each year. Special meetings may be held as the bylaws of the board provide. The board shall elect or appoint annually the following officers: a chairperson, a vice-chairperson, and a secretary. A quorum of the board shall consist of not less than three (3) members.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1.

5-8-8. Board — Powers.

    1. Subject to the approval of the director, the board has the power to adopt and amend all bylaws and rules of procedure, not inconsistent with the constitution and laws of this state or this chapter, which may be reasonably necessary for the proper performance of its duties.
    2. The board shall adopt and have an official seal, which is affixed to each certificate issued.
  1. In carrying into effect the provisions of this chapter, the board, under the hand of its chairperson and the seal of the board, may recommend that the director subpoena witnesses and compel their attendance, and also may recommend that the director order the submission of books, papers, documents, or other pertinent data, in any disciplinary matters, or in any case in which a violation of this chapter or chapter 84 of this title is alleged. Upon failure or refusal to comply with that order, or upon failure to honor the subpoena, as provided in this section, the director may apply to a court of any jurisdiction to enforce compliance with that order or subpoena.
  2. Either on his or her own initiative or on the recommendation of the board, the director is authorized in the name of the state to apply for relief by injunction in the established manner provided in cases of civil procedure, without bond, to enforce the provisions of this chapter, or to restrain any violation of the provisions of this chapter. In injunction proceedings, it shall not be necessary to allege or prove either that an adequate remedy at law does not exist or that substantial or irreparable damage would result from the continued violation. The department and members of the board are not personally liable under this proceeding.
  3. The state shall indemnify the department and board and the members, employees, or agents thereof, and hold them harmless from, any and all costs, damages, and reasonable attorney’s fees arising from or related in any way to claims or actions or other legal proceedings taken against them for any actions taken in good faith in the intended performance of any power granted under this chapter or for any neglect or default in the performance or exercise in good faith of that power.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 2013, ch. 298, § 2; P.L. 2013, ch. 378, § 2.

5-8-9. Records and reports.

  1. The board shall keep a record of its proceedings and of all applications for registration, which the record shall show:
    1. The name, age, and last known address of each applicant;
    2. The date of application;
    3. The place of business of the applicant;
    4. His or her education, experience, and other qualifications;
    5. Type of examination required;
    6. Whether or not the applicant was rejected;
    7. Whether or not a certificate of registration was granted;
    8. The date of the action of the board; and
    9. Any other information that is deemed necessary by the board.
  2. The record of the board shall be prima facie evidence of the proceedings of the division, and a transcript of the record, certified by the board under seal, is admissible in evidence with the same force and effect as if the original were produced.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1.

5-8-10. Roster of registered engineers.

A complete roster showing the names of all registered engineers is available on the Department’s website or through an Access to Public Records Request.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1; P.L. 2000, ch. 55, art. 14, § 1; P.L. 2021, ch. 162, art. 9, § 1, effective July 6, 2021.

5-8-11. General requirements for registration or certification.

  1. Professional engineer.  The following shall be considered minimum evidence satisfactory to the board that the applicant is qualified for registration as a professional engineer:
    1. Eligibility.  To be eligible for registration as a professional engineer, an applicant shall meet the following requirements:
      1. Be of good character and reputation;
      2. Submit five (5) references with his or her application for registration, three (3) of which references shall be from registered professional engineers having personal knowledge of the applicant’s engineering experience;
      3. Satisfy the education criteria set forth in this section;
      4. Satisfy the experience criteria set forth in this section; and
      5. Pass the applicable examinations as required in this section.
    2. Registration by comity.

      (i) A person holding a current certificate of registration to engage in the practice of engineering, on the basis of comparable written NCEES examinations, issued to him or her by either a proper authority of a state, territory, or possession of the United States, the District of Columbia, or of any foreign country, and whose qualifications meet the requirements of this chapter, based on verified evidence may, upon application, be registered without further examination.

      (ii) A person holding a NCEES Record, whose qualifications as evidenced by the NCEES Record meet the requirements of this chapter, may, upon application, be registered without further examination, provided he or she is qualified.

    3. Graduation from an accredited program, experience, and examination.

      (i) A graduate of an ABET-EAC accredited engineering curriculum of four (4) years or more approved by the board as being of satisfactory standing, who has passed a NCEES examination in the fundamentals of engineering and obtained a specific record of a minimum of four (4) years of experience in engineering work of a grade and character that indicates to the board that the applicant may be competent to practice engineering, may be admitted, upon application, to a NCEES examination in the principles and practice of engineering.

      (ii) A graduate of an ABET-ETAC accredited engineering technology curriculum of four (4) years or more approved by the board as being of satisfactory standing, who has passed a NCEES examination in the fundamentals of engineering and obtained a specific record of a minimum of eight (8) years of experience in engineering work of a grade and character that indicates to the board that the applicant may be competent to practice engineering, may be admitted, upon application, to a NCEES examination in the principles and practice of engineering.

    4. Waiver of requirement for NCEES examination in fundamentals of engineering.

      (i) A graduate of an ABET-EAC accredited engineering curriculum having a specific record of twelve (12) years or more of experience in engineering work of a grade and character that indicates to the board that the applicant may be competent to practice engineering, shall be admitted to a NCEES examination in the principles and practice of engineering. Upon passing that examination, the applicant shall be granted a certificate of registration to practice engineering in this state, provided he or she is qualified.

      (ii) A graduate of an engineering technology curriculum, whether accredited by ABET-ETAC or unaccredited, applying for initial or comity registration as a professional engineer in Rhode Island shall not be eligible for waiver of this requirement.

    5. Graduation from a nonaccredited program, experience, and examination.

      (i) A graduate of an engineering curriculum of four (4) years or more that is not accredited by ABET-EAC, who has passed a NCEES examination in the fundamentals of engineering and obtained a specific record of a minimum of six (6) years of experience in engineering work of a grade and character that indicates to the board that the applicant may be competent to practice engineering, may be admitted, upon application, to a NCEES examination in the principles and practice of engineering. Upon passing these examinations, the applicant shall be granted a certificate of registration to practice engineering in this state, provided he or she is qualified.

      (ii) A graduate of an engineering technology curriculum of four (4) years or more that is not accredited by ABET-ETAC is not eligible for registration as a professional engineer in this state unless they obtain an advanced engineering degree from an ABET-EAC accredited program.

    6. Teaching.  Engineering teaching in a college or university offering an ABET-EAC accredited engineering curriculum of four (4) years or more may be considered as engineering experience.
    7. Engineers previously registered.  Each engineer holding a certificate of registration under the laws of this state as previously in effect shall be deemed registered as an engineer as appropriate under this chapter in accordance with the laws in effect at the time of their initial registration.
  2. Engineer  -in-training.  The following shall be considered as minimum evidence satisfactory to the board that the applicant is qualified for certification as an engineer-in-training:
    1. Eligibility.  To be eligible for registration as an engineer-in-training, an applicant shall meet the following requirements:
      1. Be of good character and reputation;
      2. Submit three (3) character references, one (1) of which must be from a registered professional engineer;
      3. Satisfy the education requirements set forth in this section; and
      4. Satisfy the examination requirements set forth in this section.
    2. Graduation and examination.  A graduate of an ABET-EAC or an ABET-ETAC accredited program of four (4) years or more who has passed a NCEES examination in the fundamentals of engineering shall be certified or enrolled as an engineer-in-training, if he or she is qualified.
    3. Graduation from a nonaccredited program and examination.  A graduate of a nonaccredited engineering curriculum of four (4) years or more who has passed a NCEES examination in the fundamentals of engineering and has obtained two (2) years of engineering experience of a grade and character approved by the board shall be certified and enrolled as an engineer-in-training, if he or she is qualified. Graduates of a nonaccredited engineering technology curriculum are not eligible for certification as an engineer-in-training.
    4. Duration of engineer-in-training certification.  The certification or enrollment of an engineer-in-training shall not expire and does not need to be renewed.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1; P.L. 1999, ch. 354, § 3; P.L. 2000, ch. 403, § 5; P.L. 2007, ch. 420, § 1; P.L. 2013, ch. 298, § 2; P.L. 2013, ch. 378, § 2; P.L. 2021, ch. 162, art. 9, § 1, effective July 6, 2021.

Collateral References.

What amounts to architectural or engineering services within license requirements. 82 A.L.R.2d 1013.

5-8-12. Form of application for registration or certification — Registration, certification, and enrollment fees.

  1. Application for registration as a professional engineer or certification as an engineer-in-training shall:
    1. Be on a form prescribed and furnished by the board;
    2. Establish compliance with the licensing requirements pursuant to § 5-8-11 ; and
    3. Contain references as prescribed in § 5-8-11 , none of whom may be members of the board.
  2. The application fees for professional engineers shall be set by the board in an amount to cover the expenses of reviewing applications and shall accompany the application.
  3. The fee for engineer-in-training certification or enrollment shall be set by the board in an amount to cover the expenses of reviewing applications and shall accompany the application.
  4. All application fees are nonrefundable, even if an application is denied.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1990, ch. 409, § 1; P.L. 1991, ch. 304, § 1; P.L. 2007, ch. 420, § 1; P.L. 2016, ch. 347, § 1; P.L. 2016, ch. 363, § 1; P.L. 2021, ch. 162, art. 9, § 1, effective July 6, 2021.

5-8-13. Examinations.

  1. Examinations shall be held at the times and places that the board determines. Examinations required on fundamental engineering subjects may be taken as provided in § 5-8-11 . The principles and practice examinations may not be taken until the applicant has completed a period of engineering experience as prescribed in § 5-8-11 .
  2. The passing grade on any examination shall not be less than seventy percent (70%) as established by NCEES. A candidate failing one examination may apply for reexamination, which may be granted upon payment of a fee to cover the charges and expenses of examination and scoring. Any candidate for registration having an average grade of less than fifty percent (50%) may not apply for reexamination for one year. Any candidate for certification or registration failing an examination three (3) or more times must appear before the board in person to request permission to be reexamined in accordance with the board’s rules and regulations.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1; P.L. 2007, ch. 420, § 1; P.L. 2013, ch. 298, § 2; P.L. 2013, ch. 378, § 2.

5-8-14. Certificates of registration — Enrollment cards — Seals.

  1. With the assistance of the department, the board shall issue and renew a certificate of registration, upon payment of the registration fee as provided for in this chapter, to any applicant, who, in the opinion of the board, has met the requirements of this chapter. Enrollment cards shall be issued to those who qualify as engineers-in-training. Certificates of registration shall carry the designation “professional engineer,” show the full name of the registrant without any titles, have a serial number, and shall be signed by the chairperson of the board.
  2. The issuance of a certificate of registration by the board is prima facie evidence that the person named in the certificate is entitled to all rights and privileges of a professional engineer while the certificate remains unrevoked or unexpired.
  3. Each registrant under this chapter may, upon registration, obtain a seal of the design authorized by the board bearing the registrant’s name, serial number, and the legend “Registered professional engineer.” Final engineering drawings, specifications, plats, and reports prepared by a registrant shall be, when issued, signed, dated, and stamped with his or her seal or facsimile of a seal. It is unlawful for an engineer to affix, or permit his or her seal or facsimile of a seal to be affixed, to any work of which the engineer has not been responsibly charged to any engineering drawings, specifications, plats, or reports after expiration of a certificate or for the purpose of aiding or abetting any other person to evade or attempt to evade any provision of this chapter.
  4. Any party aggrieved by the board’s decision regarding license issuance or renewal may, within ten (10) days of the decision, appeal the matter to the director by submitting a written request for a formal hearing to be conducted in accordance with the provisions of § 5-8-18 .

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1; P.L. 2013, ch. 298, § 2; P.L. 2013, ch. 378, § 2.

5-8-15. Expiration and renewal of certificates of registration for professional engineers.

  1. Certificates of registration shall expire on the last day of the month of June following their issuance and become invalid after that date unless renewed. It is the duty of the board to notify every person registered under this chapter of the date of the expiration of his or her certificate and the amount of the fee required for its renewal. The notice shall be delivered, electronically or otherwise, to the registrant, at his or her last-known e-mail address, at least one month in advance of the date of the expiration of the certificate.
  2. Certificates of registration must be renewed prior to, or during the month of, June by the payment of a fee set by the board in an amount not less than one hundred fifty dollars ($150), but not to exceed one hundred eighty dollars ($180). Expired certificates may be renewed within a period of three (3) years, provided evidence is submitted to the board attesting to the continued competence and good character of the applicant. In the event renewal is not made before the end of the third year, the board may require any reexamination that it deems appropriate. The amount to be paid for that renewal is the annual fee set by the board in an amount not to exceed one hundred eighty dollars ($180) times the number of years the applicant has been delinquent, plus a penalty of sixty dollars ($60.00) per delinquent year.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1990, ch. 409, § 1; P.L. 1991, ch. 304, § 1; P.L. 2007, ch. 420, § 1; P.L. 2009, ch. 68, art. 12, § 10; P.L. 2016, ch. 347, § 1; P.L. 2016, ch. 363, § 1; P.L. 2021, ch. 162, art. 9, § 1, effective July 6, 2021.

Cross References.

Veteran’s certificate, renewal on discharge § 30-20-1 .

5-8-16. [Repealed.]

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1; Repealed by P.L. 2015, ch. 82, § 16, effective June 17, 2015; P.L. 2015, ch. 105, § 16, effective June 19, 2015.

Compiler’s Notes.

Former § 5-8-16 concerned reissuance of lost, destroyed, or mutilated certificates.

5-8-17. Public works.

This state and its political subdivisions, such as county, city, town, township, borough, or legally constituted boards, districts, commissions, or authorities, shall not engage in the construction of public works involving the practice of engineering unless the engineering drawings and specifications and estimates have been prepared by, and the construction is executed under the direct supervision of, a registered professional engineer or supervision of the Rhode Island department of transportation when applicable to a municipal transportation project. Any contract executed in violation of this section is null and void.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1.

Collateral References.

Estimate on public improvements, allowance for discount in. 91 A.L.R. 39; 162 A.L.R. 396.

Public contract for service of engineer as within requirement of submission of bids. 15 A.L.R.3d 733.

5-8-18. Suspension and revocation of certificates — Complaints — Hearings.

  1. After notice and a hearing as provided in this section, the director may in his or her discretion or upon recommendation of the board: (1) Suspend, revoke, or take other permitted action with respect to any certificate of registration; (2) Revoke, suspend, or take other permitted action with respect to any certificate of authorization; (3) Publicly censure, or reprimand or censure in writing; (4) Limit the scope of practice of; (5) Impose an administrative fine upon, not to exceed one thousand dollars ($1,000) for each violation; (6) Place on probation; and/or (7) For good cause shown, order a reimbursement of the department for all fees, expenses, costs, and attorney’s fees in connection with the proceedings, which amounts shall be deposited as general revenues; all with or without terms, conditions, or limitations, holders of a certificate of registration or a certificate of authorization, referred to as licensee(s), for any one or more of the causes set out in subsection (b) of this section.
  2. The director may take actions specified in subsection (a) of this section for any of the following causes:
    1. Bribery, fraud, deceit, or misrepresentation in obtaining a certificate of registration or certificate of authorization;
    2. Practicing engineering in another state or country or jurisdiction in violation of the laws of that state or country or jurisdiction;
    3. Practicing engineering in this state in violation of the standards of professional conduct established by the board and approved by the director;
    4. Fraud, deceit, recklessness, gross negligence, misconduct, or incompetence in the practice of engineering;
    5. Use of an engineer’s stamp in violation of § 5-8-14 ;
    6. Violation of any of the provisions of this chapter or chapter 84 of this title;
    7. Suspension or revocation of the right to practice engineering before any state or before any other country or jurisdiction;
    8. Conviction of or pleading guilty or nolo contendere to any felony or to any crime of, or an act constituting a crime of, forgery, embezzlement, obtaining money under false pretenses, bribery, larceny, extortion, conspiracy to defraud, or any other similar offense, in a court of competent jurisdiction of this state or any other state or of the federal government;
    9. Failure to furnish to the department and/or board or any person acting on behalf of the department and/or board in a reasonable time any information that may be legally requested by the department and/or board;
    10. In conjunction with any violation of subsections (b)(1) — (b)(9), any conduct reflecting adversely upon the licensee’s fitness to engage in the practice of engineering; and
    11. In conjunction with any violation of subsections (b)(1) — (b)(9), any other conduct discreditable to the engineering profession.
  3. Any person may file complaints of fraud, deceit, gross negligence, incompetence, or misconduct against any registrant. Those charges shall be in writing, sworn to by the person or persons making them, and filed with the board.
  4. All charges, unless dismissed by the director as unfounded or trivial, shall be heard by the director within six (6) months after the date on which they have been properly filed or within six (6) months following resolution of similar charges that have been brought against a registrant who is before another regulatory body.
  5. The time and place for the hearing pursuant to subsection (d) of this section shall be fixed by the department, and a copy of 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 the registrant at least thirty (30) days before the date fixed for the hearing. At any hearing, the accused registrant shall have the right to appear personally and/or by counsel; to cross-examine witnesses appearing against him or her; and to produce evidence and witnesses in his or her own defense. The board may participate in formal proceedings through representation by the department’s legal staff acting as the prosecuting agent before the director.
  6. If, after the hearing pursuant to subsection (d) of this section, the evidence is in favor of sustaining the charges, the director may in his or her discretion suspend, revoke, or take other permitted action with respect to the certificate of registration or certificate of authorization, or publicly censure the licensee, or take any other action and/or order any other penalty permitted by this section. The department, for reasons it deems sufficient, may reissue a certificate of registration or certificate of authorization or renewal to any person or firm whose certificate has been revoked.
  7. The board or the department may on its own motion investigate the conduct of an applicant, engineer, sole proprietorship, partnership, limited-liability partnership, corporation, limited-liability company, or individual.
  8. Nothing in this chapter shall be construed to prohibit the board from entering into consent agreements or informal resolutions with any party under investigation for violations under this chapter and/or chapter 84 of this title.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1; P.L. 1999, ch. 285, § 1; P.L. 2004, ch. 56, § 2; P.L. 2004, ch. 63, § 2; P.L. 2007, ch. 420, § 1; P.L. 2013, ch. 298, § 2; P.L. 2013, ch. 378, § 2; P.L. 2021, ch. 400, § 3, effective July 13, 2021; P.L. 2021, ch. 401, § 3, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 3, and P.L. 2021, ch. 401, § 3 enacted identical amendments to this section.

Collateral References.

Revocation or suspension of license of professional engineer. 64 A.L.R.3d 509.

5-8-19. Appeals.

Any person, sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company aggrieved by any decision or ruling of the department may appeal from it in accordance with the provisions of chapter 35 of title 42.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1; P.L. 2004, ch. 56, § 2; P.L. 2004, ch. 63, § 2; P.L. 2013, ch. 298, § 2; P.L. 2013, ch. 378, § 2.

5-8-20. Violations and penalties — Enforcement — Injunctions.

  1. No individual shall: (1) Practice or offer to practice engineering in this state; (2) Use any title, sign, card, or device implying that the individual is an engineer or is competent to practice engineering in this state; (3) Use in connection with his or her name or otherwise any title or description conveying or tending to convey the impression that the individual is an engineer or is competent to practice engineering in this state; or (4) Use or display any words, letters, figures, seals, or advertisements indicating that the individual is an engineer or is competent to practice engineering in this state; unless that individual holds a currently valid certificate issued pursuant to this chapter or is specifically exempted from the certificate requirement under the provisions of this chapter.
  2. No sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company shall: (1) Practice or offer to practice engineering in this state; (2) Use any title, sign, card, or device implying that the sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company is competent to practice engineering in this state; (3) Use in connection with its name or otherwise any title or description conveying or tending to convey the impression that the entity is an engineering firm or is competent to practice engineering in this state; or (4) Use or display any words, letters, figures, seals, or advertisements indicating that the entity is an engineering firm or is competent to practice engineering in this state; unless that sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company complies with the requirements of this chapter.
  3. Any individual, sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company that: (1) Violates subsection (a) or (b) of this section; (2) Presents or attempts to use the certificate of registration/authorization of another; (3) Gives any false or forged evidence of any kind to the department, board, or to any member or employee thereof in obtaining or attempting to obtain a certificate of registration/authorization; (4) Falsely impersonates any other registrant whether of a like or different name; (5) Uses or attempts to use an expired, revoked, or nonexistent certificate of registration/authorization; (6) Falsely claims to be registered under this chapter; or (7) Otherwise violates any provision of this chapter; is 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 department for any and all fees, expenses, and costs incurred by the board in connection with the proceedings, including attorney’s fees, which amount shall be deposited as general revenues; and be subject to, in the director’s discretion, public censure or reprimand.
  4. Either on his or her own initiative or on the recommendation of the board, the director has the power to institute injunction proceedings in superior court to prevent violations of subsection (a) or (b) or violations of § 5-8-1 . In injunction proceedings, the director shall not be required to prove that an adequate remedy at law does not exist, or that substantial or irreparable damage would result from continued violations. The superior court, in its discretion and in addition to any injunctive relief granted to the department, may order that any person or entity in violation of this section shall:
    1. Upon good cause shown, reimburse the department for any and all fees, expenses, and costs incurred by the board and/or the department in connection with the proceedings, including attorney’s fees, which amounts shall be deposited as general revenues; and/or
    2. Be subject to public censure or reprimand.
  5. It is the duty of all constituted officers of the state and all political subdivisions of the state to enforce the provisions of this chapter and to prosecute any persons violating those provisions.
  6. The department shall make its legal staff available to act as legal adviser to the board and render any legal assistance that is necessary in carrying out the provisions of this chapter. The director may employ counsel and necessary assistance to aid in the enforcement of this chapter, and their compensation and expenses shall be paid from funds as provided in § 5-8-23 .

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1999, ch. 285, § 1; P.L. 2004, ch. 56, § 2; P.L. 2004, ch. 63, § 2; P.L. 2013, ch. 298, § 2; P.L. 2013, ch. 378, § 2.

5-8-21. Exemptions.

This chapter shall not be construed to prevent or to affect:

  1. Temporary certificates of registration.
    1. Nonresidents.  The practice or offer to practice of engineering by a person not a resident of or having no established place of business in this state, when that practice does not exceed in the aggregate more than thirty (30) days in any calendar year; provided, the person is legally qualified by registration to practice engineering, as defined in § 5-8-2(h) , in his or her own state or country. The person shall make application to the board, in writing, and after payment of a fee set by the board in an amount not to exceed two hundred dollars ($200) may be granted a written temporary certificate of registration for a definite period of time to do a specific job; provided, no right to practice engineering accrues to an applicant as to any work not prescribed in the temporary certificate.
    2. Recent arrivals in state.  The practice of a person not a resident of and having no established place of business in this state, or who has recently become a resident of the state, practicing or offering to practice engineering in the state for more than thirty (30) days in any calendar year, if he or she has filed with the board an application for a certificate of registration and has paid the fee required by this chapter; provided, that the person is legally qualified by registration to practice engineering in his or her own state or country. That practice shall continue only for the time that the board requires for the consideration of the application for registration.
  2. Employees and subordinates.  The work of an employee or a subordinate of a person holding a certificate of registration under this chapter, or an employee of a person practicing lawfully under subsection (1)(ii) of this section; provided, that work does not include final engineering designs or decisions and is done under the direct supervision of or checked by a person holding a certificate of registration under this chapter or a person practicing lawfully under subsection (1) of this section.
  3. Partnership, limited-liability partnership, corporate, and limited-liability company practice.  The practice or offer to practice of engineering as defined by this chapter by individual registered professional engineers through a partnership, limited-liability partnership, corporation, joint stock company, or limited-liability company, or by a partnership, limited-liability partnership, corporation, limited-liability company, or joint stock company, through individual registered professional engineers as agents, employees, officers, or partners or members or managers, provided, that they are jointly and severally liable for their professional acts; and provided, that all personnel of that partnership, limited-liability partnership, joint stock company, corporation, or limited-liability company who act on its behalf as engineers in the state are registered under this chapter or are persons practicing lawfully or are exempt under subsection (1) or (2) of this section. Each partnership, limited-liability partnership, joint stock company, corporation, or limited-liability company providing engineering services is jointly and severally liable with the individually registered professional engineers, and all final plans, designs, drawings, specifications, and reports involving engineering judgment and discretion, when issued, shall be dated and bear the seals and signatures of the engineers who prepared them.
  4. Federal employees.  The practice by officers and employees of the government of the United States while engaged within this state in the practice of engineering for that government; provided, that no right to practice engineering accrues to those persons as to any other engineering work. The rights to registration after leaving government employment shall not be granted except under the provisions established under § 5-8-11 .
  5. Railroad, telephone, telegraph, and other public utility companies.  The practice of engineering, as prescribed in this chapter, by railroad, telephone, telegraph, and other public utility companies, and their officers and employees while engaged in the work of those companies in this state; provided, that the practice is carried on under the responsible charge of an engineer or engineers in this state, or in any other state under requirements equivalent to those prescribed in this chapter; provided that all plans for natural gas infrastructure, including, but not limited to, repairs, maintenance, and construction, shall be built in accordance with design plans and specifications approved by a Rhode Island registered professional engineer when the work could pose a material risk to public safety; and provided, that no right to practice engineering accrues to any unregistered person as to any other engineering work.
  6. Manufacturing corporations.  The practice of engineering, as prescribed in this chapter, by manufacturing corporations, and their officers and employees while engaged in manufacturing and research and development activities for those corporations.
  7. Research and development corporations.  The practice of engineering, as prescribed in this chapter, by research and development corporations, and their officers and employees while engaged in research and development activities for that corporation.
  8. Other professions.  The practice of architecture, landscape architecture, or land surveying.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1; P.L. 2004, ch. 56, § 2; P.L. 2004, ch. 63, § 2; P.L. 2007, ch. 420, § 1; P.L. 2019, ch. 189, § 1; P.L. 2019, ch. 240, § 1; P.L. 2019, ch. 308, art. 1, § 7.

Compiler’s Notes.

This section was amended by three acts (P.L. 2019, ch. 189, § 1; P.L. 2019, ch. 240, § 1; P.L. 2019, ch. 308, art. 1, § 7) as passed by the 2019 General Assembly. Since the acts are not in conflict with each other, the section is set out as amended by all three acts.

P.L. 2019, ch. 189, § 1, and P.L. 2019, ch. 240, § 1 enacted identical amendments to this section.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

Cross References.

Architects, § 5-1-1 et seq.

Collateral References.

Law as to license which discriminates against nonresidents. 61 A.L.R. 348.

Right of architect or engineer licensed in one state to recover compensation for services rendered in another state, or in connection with construction in another state where he was not licensed in the latter state. 32 A.L.R.3d 1151.

5-8-22. Severability.

If any of the provisions of this chapter or if any rule, regulation, or order under this chapter or the application of that provision to any person or circumstance is held invalid, the remainder of this chapter and the application of that provision of this chapter or of that rule, regulation, or order to any person or circumstances, other than those as to which it is held invalid, is not affected.

History of Section. P.L. 1990, ch. 330, § 2.

5-8-23. Deposit of fees.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 1; P.L. 1995, ch. 370, art. 40, § 7; P.L. 2013, ch. 298, § 2; P.L. 2013, ch. 378, § 2.

5-8-24. Sole proprietorship, partnership, limited-liability partnership, corporation, and limited-liability company.

  1. The practice or offer to practice engineering as defined by this chapter by a sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company, subsequently referred to as the “firm,” through individuals is permitted; provided, that the individuals: (1) Are in direct control of the practice; (2) Exercise personal supervision of all personnel who act in behalf of the firm in professional and technical matters; and (3) Are registered under the provisions of this chapter; and provided, that the firm has been issued a certificate of authorization by the board of engineers.
    1. Within one year after enactment of this chapter, every firm must obtain a certificate of authorization from the board and those individuals in direct control of the practice and who exercise direct supervision of all personnel who act in behalf of the firm in professional and technical matters must be registered with the board. The certificate of authorization shall be issued by the board, with the assistance of the department, upon satisfaction of the provisions of this chapter and the payment of a fee not to exceed one hundred fifty dollars ($150). This fee is waived if the firm consists of only one person who is the person in responsible charge.
    2. Every firm desiring a certificate of authorization must file with the board an application for a certificate of authorization on a form to be provided by the board. A separate form provided by the board shall be filed with each renewal of the certificate of authorization and 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 its judgment, the information contained on the application and renewal form is satisfactory and complete, the board, with the assistance of the department, will issue a certificate of authorization for the firm to practice engineering in this state.
    3. No firm that has been granted a certificate of authorization by the board shall be relieved of responsibility for modification or derivation of the certificate, unless the board has issued for the applicant a certificate of authorization or a letter indicating the eligibility of the applicant to receive the certificate. The firm applying shall supply the certificate or letter from the board with its application for incorporation, organization, or registration as a foreign corporation.
  2. Any party aggrieved by the board’s decision regarding license issuance or renewal may, within ten (10) days of the decision, appeal the matter to the director by submitting a written request for a formal hearing in accordance with the provisions of § 5-8-18 .

History of Section. P.L. 1991, ch. 304, § 2; P.L. 2004, ch. 56, § 2; P.L. 2004, ch. 63, § 2; P.L. 2009, ch. 68, art. 12, § 10; P.L. 2013, ch. 298, § 2; P.L. 2013, ch. 378, § 2.

5-8-25. Engineers rendering assistance during disaster emergency — Immunity from civil liability.

  1. An engineer or engineering firm, duly licensed to practice in Rhode Island under this chapter, who or that voluntarily and without compensation provides engineering services at the scene of a disaster emergency shall not be liable for any personal injury, wrongful death, property damage, or other loss or damages caused by an act or omission of the engineer or engineering firm in performing the services.
  2. As used in this section, “disaster emergency” means a disaster emergency declared by executive order or proclamation of the governor pursuant to chapter 15 of title 30.
  3. The immunity provided in subsection (a) of this section only applies to the practice of engineering as defined in this chapter regarding an engineering service that:
    1. Concerns any building, structure, or system, whether publicly or privately owned, that is identified pursuant to a disaster emergency executive order or proclamation;
    2. Relates to the structural integrity of the entire building structure or system or any portion of the structure or system, or to a nonstructural element of the structure or system, affecting public safety; and
    3. Is rendered during the time in which a state of disaster emergency exists, as provided in chapter 15 of title 30.
  4. The immunity granted by this section does not apply to acts or omissions constituting gross negligence or willful misconduct.

History of Section. P.L. 2000, ch. 403, § 2.

Chapter 8.1 Land Surveyors

5-8.1-1. Declaration of policy.

In order to safeguard life, health, and property and to promote the public welfare, the practice of land surveying in this state is declared to be subject to regulation in the public interest. It is unlawful for any person to practice, or to offer to practice, land surveying in this state, as defined in the provisions of this chapter, 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 a professional land surveyor, unless the person has been registered or exempted.

History of Section. P.L. 1990, ch. 330, § 2.

5-8.1-2. Definitions.

The following definitions apply in the interpretation of the provisions of this chapter, unless the context requires another meaning:

  1. “ABET” means the Accreditation Board for Engineering and Technology.
  2. “Accredited program” means an approved program or course of study currently accredited and subject to review by the accepted national organization ABET (land surveying) and any other similar school or course of study that fulfills equivalent requirements that the board approves.
  3. “Applicant” means an individual who has submitted an application for registration to practice land surveying as a surveyor-in-training, and/or a certification of authorization.
  4. “Board of land surveyors,” “board of professional land surveyors,” or “board” means the board of registration for professional land surveyors, as subsequently provided by this chapter.
  5. “Candidate” means a person who has the qualifications prerequisite by statute and board regulation for admission to examination and who has filed with the board an application for registration accompanied by the required examination fee.
  6. “Certificate of registration” means a certificate issued by the board of professional land surveyors to a person to engage in the profession regulated by the board.
  7. “Department” means the department of business regulation.
  8. “Director” means the director of the department of business regulation or his or her designee.
  9. “Experience” means combined office and field work in land surveying satisfactory to the board, including any work that is performed under the direct control and personal supervision of a professional land surveyor.
  10. “Land surveyor-in-training” means a person who has qualified for, taken, and passed an examination in the fundamentals of land surveying.
  11. “NCEES” means the National Council of Examiners for Engineering and Surveying.
  12. “Part-time” means any type of employment or work engagement that requires less than twenty (20) hours of labor per week.
  13. “Practice of land surveying” means any service or work, the adequate performance of which involves the application of special knowledge of the principles of mathematics, the related physical and applied sciences, and the relevant requirements of law for adequate evidence to perform the act of measuring and locating lines, angles, elevations, natural and manmade features in the air, on the surface of the earth, within underground workings, and on the beds of bodies of water for the purpose of determining areas and volumes, for the monumenting of property boundaries and for the platting and layout of lands and their subdivisions, including the topography, alignment, and grades of streets and for the preparation of maps, record plats, field-note records, and property descriptions that represent these surveys.
  14. “Practice” or “offer to practice” means a person who engages in land surveying, or who by verbal claim, sign, letterhead, card, or in any other way represents himself or herself to be a professional land surveyor.
  15. “Principal” means an individual who is a registered professional land surveyor and who is an officer, shareholder, director, partner, member, manager, or owner of that organization and who is in responsible charge of an organization’s professional practice for which he or she is registered.
  16. “Professional land surveyor” means a person who has been duly registered as a professional land surveyor by the board established under this chapter, and who is a professional specialist in the technique of measuring land, educated in the basic principles of mathematics, the related physical and applied sciences, and the relevant requirements of law for adequate evidence and all to surveying of real property and engaged in the practice of land surveying as defined in this section.
  17. “Registrant” means an individual who has been issued a certificate of registration by the board of professional land surveyors.
  18. “Registrant’s seal” means an emblem of a type, shape, and size and as specified by the board of registration for professional land surveyors for use by an individual registrant to stamp legal descriptions, final drawings, specifications, and reports.
  19. “Related curriculum” means an educational program of sufficient length and academic quality and content to satisfy the board.
  20. “Responsible charge” means direct control and personal supervision of the work performed. No person may serve in responsible charge of land surveying work done in Rhode Island unless that person is registered as a professional land surveyor by the board.
  21. “Rules and regulations” means that document of the same title, as amended from time to time, subject to the director’s approval, that has been duly adopted by the board of professional land surveyors and that prescribes the manner in which that board administers its affairs and establishes rules of conduct, procedures, and standards for adherence by all persons registered by the board, filed with the secretary of state in accordance with the provisions of §§ 42-35-3(a) and 42-35-4(b) , and this chapter.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 4; P.L. 1992, ch. 337, § 1; P.L. 1997, ch. 86, § 1; P.L. 2004, ch. 56, § 3; P.L. 2004, ch. 63, § 3; P.L. 2013, ch. 298, § 3; P.L. 2013, ch. 378, § 3.

Compiler’s Notes.

Section 42-35-3 , referred to in this section, was amended by P.L. 2016, ch. 203, § 2, and P.L. 2016, ch. 206, § 2, effective June 29, 2016. Comparable provisions are now found in chapter 35 of title 42.

5-8.1-3. [Repealed.]

History of Section. P.L. 1990, ch. 330, § 2; Repealed by P.L. 1991, ch. 304, § 3, effective July 1, 1991.

Compiler’s Notes.

Former § 5-8.1-3 concerned the department of business regulation.

5-8.1-4. Board of registration for professional land surveyors — Authority, powers, and duties.

  1. The duty of the board of land surveyors is to administer the provisions of this chapter in regards to the regulation of professional land surveying and the registration of professional land surveyors.
    1. Subject to the director’s approval, the board of land surveyors may establish any rules and regulations for the conduct of its own proceedings; for examination of applicants; for registration of professional land surveyors and surveyors-in-training; for continuing education requirements; and for governing the practice of land surveying, that it deems appropriate.
    2. Upon July 12, 1990, the rules and regulations in effect prior to that date shall remain in effect until adoption of new rules and regulations.
  2. The board of professional land surveyors shall hold examinations for qualified individuals applying for registration as professional land surveyors or for certification as surveyors-in-training at least once a year.
  3. With the assistance of the department, the board of land surveyors shall issue and renew certificates of registration to individuals who have qualified to practice professional land surveying under the provisions of this chapter.
  4. The director, on his or her own motion or upon recommendation of the board of professional land surveyors, has the power to suspend, revoke, or take other permitted action with respect to certificates of registration in accordance with the provisions of this chapter. In all disciplinary proceedings brought pursuant to this chapter, the director has the power to administer oaths, to summon witnesses, and to compel the production of documents in accordance with procedures applicable in the superior court. Upon failure of any person to appear to produce documents in accordance with the order, the director may apply to a court of any jurisdiction to enforce compliance with the order.
  5. Either on his or her own initiative or on the recommendation of the board, the director is authorized in the name of the state to apply for relief by injunction in the established manner provided in cases of civil procedure, without bond, to enforce the provisions of this chapter, or to restrain any violations of this chapter. In those proceedings, it is not necessary to allege or prove, either that an adequate remedy at law does not exist or that substantial or irreparable damage would result from the continued violation of this chapter. The department and/or the members of the board are not personally liable under this proceeding.
  6. The state shall indemnify the department and/or board and the members, employees, or agents thereof, and hold them harmless from, any and all costs, damages, and reasonable attorney’s fees arising from or related in any way to claims or actions or other legal proceedings taken against them for any actions taken in good faith in the intended performance of any power granted under this chapter or for any neglect or default in the performance or exercise in good faith of that power.
  7. The department and/or board is empowered to collect any fees and charges prescribed in this chapter and to apply the fees and charges to the cost of fulfilling the requirements and responsibilities of this chapter.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 4; P.L. 1992, ch. 337, § 1; P.L. 2004, ch. 90, § 1; P.L. 2004, ch. 98, § 1; P.L. 2013, ch. 298, § 3; P.L. 2013, ch. 378, § 3.

5-8.1-4.1. Continuing education exemption.

Notwithstanding any law, rule, or regulation to the contrary, any person who was registered as a professional land surveyor in the state of Rhode Island before July 1, 1975, will be exempt from any continuing education requirements as may be established by the board of land surveyors of the state of Rhode Island.

History of Section. P.L. 2004, ch. 163, § 1.

5-8.1-5. Board of registration for professional land surveyors — Membership, appointments, terms, and vacancies.

  1. The board of land surveyors shall consist of five (5) professional land surveyors, only one of whom may also be a professional engineer and all of whom shall be registered in the state. Each member of the board must be a qualified elector of this state for three (3) years prior to appointment. Each member shall have been engaged in the lawful practice of land surveying for at least seven (7) years and shall have been in responsible charge of surveying work for at least five (5) years.
  2. Each member of the board shall be appointed by the governor, within sixty (60) days of the enactment of this chapter [July 12, 1990], for staggered terms, to serve a term of five (5) years or until his or her successor is appointed and qualified; in the original appointments under this section:
    1. One member shall be appointed for a period of one year,
    2. One member shall be appointed for a period of two (2) years,
    3. One member shall be appointed for a period of three (3) years,
    4. One member shall be appointed for a period of four (4) years, and
    5. One member shall be appointed for a period of five (5) years.
  3. No member of the board of land surveyors shall be associated in the practice of surveying, either individually or as a member of a partnership, limited-liability partnership, corporation, or limited-liability company, with any other member of the board.
  4. Vacancies in the membership of the board of land surveyors shall be filled for any unexpired terms by appointment of the governor.
  5. A member appointed for a full term shall not be eligible for more than two (2) consecutive terms.
  6. The governor may remove any member of the board of land surveyors for misconduct, incompetency, neglect of duty, or for any sufficient cause, in the manner prescribed by law for removal of state officials.
  7. Each member of the board of land surveyors shall receive a certificate of his or her appointment from the governor and shall file his or her written oath or affirmation for the faithful discharge of his or her official duties with the secretary of state.
  8. Within thirty (30) days of the appointment of the board, the director or his or her designee shall summon the members of the board to organize and elect a chairperson, vice-chairperson, and secretary from the appointed members.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1997, ch. 86, § 1; P.L. 2004, ch. 56, § 3; P.L. 2004, ch. 63, § 3.

5-8.1-6. Board of registration for professional land surveyors — Compensation and expenses.

The chairperson and each other member of the board of land surveyors shall not be compensated for their service on the board but shall be reimbursed for all actual traveling, incidental, and clerical expenses necessarily incurred in carrying out the provisions of this chapter.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1992, ch. 337, § 1; P.L. 2005, ch. 117, art. 21, § 4.

5-8.1-7. Board of registration for professional land surveyors — Organization.

  1. The board of land surveyors shall hold at least three (3) regular meetings each year. A meeting of the board shall be held once each year, at which time the board shall elect from its membership a chairperson, vice-chairperson, and a secretary, who shall serve one year or until their successors are elected and qualified. Special meetings of the board may be called by the chairperson or other members of the board in accordance with the rules and regulations of the board.
  2. Three (3) members of the board shall constitute a quorum for the transaction of all business, but no action shall be taken at any meeting without three (3) members in accord.
  3. The board shall adopt a seal for its official actions.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1992, ch. 337, § 1; P.L. 2016, ch. 347, § 2; P.L. 2016, ch. 363, § 2.

5-8.1-8. Board of registration for professional land surveyors — Records and reports.

  1. The board of land surveyors shall keep a record of its proceedings and of all applications for registration, which applications shall show:
    1. Name, date of birth, and last known address of each applicant;
    2. Date of the application;
    3. The last known place of business of the applicant;
    4. The education, experience, and other qualifications of the applicant;
    5. The type of examination administered;
    6. Whether or not the applicant was accepted or rejected;
    7. Whether or not a certificate of registration was granted;
    8. The date of action of the board; and
    9. Any other information that the board deems appropriate.
  2. Board records and papers of the following classes are of a confidential nature and are not public records:
    1. Examination material for examinations not yet given;
    2. File records of examination problem solutions;
    3. Letters of inquiry and references concerning applicants;
    4. Completed board inquiry forms concerning applicants;
    5. Investigatory files where any investigation is still pending; and
    6. All other materials of like nature.
  3. The record of the board of land surveyors is prima facie evidence of the proceedings of the board and a certified transcript by the board is admissible in evidence with the same force and effect as if the original were produced.
  4. A complete roster showing the names and last-known addresses of all registered professional land surveyors and surveyors in training and any sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company receiving a certificate of authorization shall be available on the board’s website.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1992, ch. 337, § 1; P.L. 2004, ch. 56, § 3; P.L. 2004, ch. 63, § 3; P.L. 2015, ch. 82, § 5; P.L. 2015, ch. 105, § 5.

5-8.1-9. Board of registration for professional land surveyors — Application and qualification for registration.

    1. Application for registration as a professional land surveyor or certification as a surveyor-in-training shall be made, in writing, on a form prescribed and furnished by the board of registration for professional land surveyors. The application shall:
      1. Contain statements made under oath;
      2. Show the applicant’s education;
      3. Contain a detailed summary of the applicant’s technical and professional experience; and
      4. Designate references as described in this section.
  1. The fee established in § 5-8.1-11 must accompany each application. Failure to include this fee will result in the application being returned to the applicant without consideration by the board.
  2. To be eligible for registration as a professional land surveyor, an applicant must be of good character and reputation. Additionally, the applicant must submit five (5) references with his or her application, three (3) of which are from registered professional land surveyors having personal knowledge of his or her land surveying experience. No person seeking his or her initial registration as a professional land surveyor shall be granted the certificate without first completing a surveyor-in-training program as prescribed and approved by the board and passing an examination in the fundamentals of land surveying. Upon passing that examination, the applicant is granted a surveyor-in-training certificate in this state.
  3. To be eligible for certification as a surveyor-in-training, an applicant must be of good character and reputation substantiated by an interview with a quorum of the board of registration for professional land surveyors and additionally must submit three (3) character references one of which must be from a professional land surveyor.
  4. One of the following shall be considered as minimum evidence to the board that the applicant is qualified for registration as a professional land surveyor or for certification as a land-surveyor-in training, respectively:
    1. Graduation from a four-year (4) survey degree program, experience, and examination.  A graduate of a four-year (4) survey degree program applicant will need a specific record of a minimum four (4) years of experience in land surveying. This verified experience shall be under the direct supervision of a registered professional land surveyor, satisfactory to the board, and shall be broken down as follows: At a minimum, twenty percent (20%) shall be field experience; twenty percent (20%) shall be research, deed evidence, reconciliation, etc.; and twenty percent (20%) shall be property line calculations and determination. Once the experience has been deemed satisfactory to the board, the applicant may be admitted to an examination in the principles and practice of land surveying, plus an additional Rhode Island legal portion. Upon passing that examination, the applicant is granted a certificate of registration to practice land surveying in this state, provided the applicant is qualified.
    2. Graduation from a four-year (4) degree program, experience, and examination.  A graduate of a four-year (4) degree program applicant who has also fulfilled the core curriculum (see subsection (h) of this section) will need a specific record of a minimum five (5) years of experience in land surveying. This verified experience shall be under the direct supervision of a registered professional land surveyor, satisfactory to the board, and shall be broken down as follows: At a minimum, twenty percent (20%) shall be field experience; twenty percent (20%) shall be research, deed evidence, reconciliation, etc.; and twenty percent (20%) shall be property line calculations and determination. Once the experience has been deemed satisfactory to the board, the applicant may be admitted to an examination in the principles and practice of land surveying, plus an additional Rhode Island legal portion. Upon passing that examination, the applicant is granted a certificate of registration to practice land surveying in this state, provided the applicant is qualified.
    3. Graduation from a two-year (2) survey degree program, experience, and examination.  A graduate of a two-year (2) survey degree program applicant will need a specific record of a minimum five (5) years of verified experience in land surveying. All five (5) years of experience shall be under the direct supervision of a registered professional land surveyor, satisfactory to the board, and shall be broken down as follows: At a minimum, twenty percent (20%) shall be field experience; twenty percent (20%) shall be research, deed evidence, reconciliation, etc.; and twenty percent (20%) shall be property line calculations and determination. Once the experience has been deemed satisfactory to the board, the applicant may be admitted to an examination in the principles and practice of land surveying, plus an additional Rhode Island legal portion. Upon passing that examination, the applicant is granted a certificate of registration to practice land surveying in this state, provided the applicant is qualified.
    4. Graduation from a two-year (2) degree program, experience, and examination.  A graduate of a two-year (2) degree program applicant who has also fulfilled the core curriculum (see subsection (h) of this section) will need a specific record of a minimum five (5) years of verified experience in land surveying. All five (5) years of experience shall be under the direct supervision of a registered professional land surveyor, satisfactory to the board, and shall be broken down as follows: At a minimum, twenty percent (20%) shall be field experience; twenty percent (20%) shall be research, deed evidence, reconciliation, etc.; and twenty percent (20%) shall be property line calculations and determination. Once the experience has been deemed satisfactory to the board, the applicant may be admitted to an examination in the principles and practice of land surveying, plus an additional Rhode Island legal portion. Upon passing that examination, the applicant is granted a certificate of registration to practice land surveying in this state, provided the applicant is qualified.
    5. Experience and examination.  An applicant who has recorded a minimum of seven (7) years verified experience and who has also fulfilled the core curriculum (see subsection (h)) will need a specific record of a minimum of seven (7) years of verified experience in land surveying. All seven (7) years of experience shall be under the direct supervision of a registered professional land surveyor, satisfactory to the board, and shall be broken down as follows: At a minimum, twenty percent (20%) shall be field experience; twenty percent (20%) shall be research, deed evidence, reconciliation, etc.; and twenty percent (20%) shall be property line calculations and determination. Once the experience has been deemed satisfactory to the board, the applicant may be admitted to an examination in the principles and practice of land surveying, plus an additional Rhode Island legal portion. Upon passing that examination, the applicant is granted a certificate of registration to practice land surveying in this state, provided the applicant is qualified.
    6. Surveying teaching.  Teaching of advanced land surveying subjects in a college or university offering an approved land surveying curriculum may be considered as land surveying experience satisfactory to the board.
    7. Registration by comity or endorsement.  A person holding a current certificate of registration to engage in the practice of land surveying issued to him or her by a proper authority of a state, territory, or possession of the United States, or the District of Columbia must have, at the time he or she was licensed, met the existing Rhode Island requirements for licensure. All applicants applying under this section must have passed the written examinations in the fundamentals of land surveying and the principles and practice of land surveying. If, based upon verified evidence and the opinion of the board, the applicant meets all appropriate requirements of this section, the applicant will be allowed to take the Rhode Island legal portion. Upon passing this examination, the applicant shall be granted a certificate of registration to practice land surveying in this state, provided the applicant is qualified.
  5. The passing grade on all examinations offered by the land surveyors is not less than seventy percent (70%). An applicant failing any examination may apply for reexamination upon payment of the appropriate fees. An applicant who scores less than fifty percent (50%) on any examination may not apply for reexamination for at least one year.
  6. An applicant who fails any of the exams three (3) times shall be interviewed by the board, before any further application can be acted upon. It is the applicant’s responsibility to show the board that he or she will be successful if allowed to take the exam again. If, in the board’s opinion, the applicant cannot satisfactorily demonstrate that he or she is qualified to re-take the exam, the board may require that the applicant acquire additional knowledge, education, and/or experience, satisfactory to the board before the applicant may sit for another exam.
  7. Core curriculum.  An applicant with a four-year (4) degree as described in subsection (e)(ii) of this section, a two-year (2) degree as described in subsection (e)(iv), or experience as described in subsection (e)(v) of this section may need to take additional courses to fulfill, at a minimum, the following core curriculum. For the following list of classes, any equivalent class may be taken and any survey-related course may be substituted upon approval of the board:
    1. Surveying (six (6) credit hours).  Surveying I or equivalent, Surveying II or equivalent. Courses must cover topics of GPS & geodetic control and boundary adjustment computations.
    2. Mathematics (nine (9) credit hours).  Qualifying courses: Algebra, trigonometry, pre-calculus, or higher.
    3. Business and law (six (6) credit hours).  Qualifying courses: boundary law, contract law, property law, trusts and estates, professional ethics, quantitative business analysis I, business administration, small business management, micro economics, accounting principles, or related courses.
    4. Science (nine (9) credit hours).  Qualifying courses: physics, geology, astronomy, soils, dendrology, chemistry, biology, or ecology.
    5. Computer usage (three (3) credit hours).  Qualifying courses: introduction to computer, computer science, computer programing, AutoCad basics, AutoCAD advantage, geographic/land information systems, introduction to spreadsheets, or word processing.
    6. English composition,  English composition II, technical writing, creative writing, or speech (six (6) credit hours).

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 4; P.L. 1992, ch. 337, § 1; P.L. 1997, ch. 86, § 1; P.L. 2004, ch. 90, § 1; P.L. 2004, ch. 98, § 1; P.L. 2009, ch. 157, § 1; P.L. 2009, ch. 165, § 1; P.L. 2013, ch. 298, § 3; P.L. 2013, ch. 378, § 3; P.L. 2018, ch. 11, § 1; P.L. 2018, ch. 23, § 1.

5-8.1-10. Board of registration for professional land surveyors — Issuance and renewal of certificates.

  1. Surveyors previously registered.  Each land surveyor holding a certificate of registration under the laws of this state as previously in effect shall be deemed registered as a professional land surveyor under this chapter.
  2. Surveyors-in-training previously registered.  Each surveyor-in-training previously enrolled under the laws of this state as previously in effect shall be deemed enrolled under this chapter.
  3. Certificates of registration.  With the assistance of the department, the board of land surveyors shall issue a certificate of registration upon payment of the registration fee as provided for in this chapter to any applicant, who, in the judgment of the board, has met the requirements of this chapter. Enrollment cards are issued to those who qualify as surveyors-in-training. The certificate of registration shall:
    1. Carry the designation “professional land surveyor”;
    2. Show the full name of the registrant, without any titles;
    3. Have a serial number; and
    4. Be signed by both the chairperson and secretary of the board of land surveyors.
  4. Effect of certification.  The issuance of a certificate of registration by the board of land surveyors is prima facie evidence that the person named in the certificate is entitled to all rights and privileges of a professional land surveyor while the certificate of registration remains unrevoked or unexpired.
  5. Expiration and renewals.  Certificates of registration that expire are invalid, rendering practice authorized on the basis of that certificate illegal. It is the duty of the board of land surveyors to notify every person registered under this chapter of the date of the expiration of his or her certificate and the amount of the fee required for its renewal. That notice shall be delivered, electronically or otherwise, to the registrant, at his or her last-known address, at least one month in advance of the date of the expiration of that certificate, and it is the responsibility of each person registered under this chapter to renew his or her certificate of registration prior to its expiration. Renewal may be effected at any time prior to, or during the month of, June of each odd-numbered year (meaning biennially) commencing in year 2003 (provided, that any said renewal shall be postmarked no later than June 30th in that year in order to be valid), or at any other time that the law provides for, by the payment of the fee required by this chapter. Renewal of an expired certificate may be effected, with the director’s approval, within a period of four (4) years; provided, that evidence is submitted to the board of land surveyors attesting to the continued competence and good character of the applicant. The amount to be paid for the renewal of a certificate after the date of expiration shall be double the regular fee. In the event renewal is not made before the end of the second year, the board of land surveyors may require any reexamination that it deems appropriate and the amount to be paid for the renewal shall be as stated in this section.
  6. Lapsed certificates.  Any registrant who allows his or her certificate of registration to lapse for more than four (4) years, shall reapply for registration in accordance with the requirements stated in § 5-8.1-9 .
  7. Any party aggrieved by the board’s decision regarding license issuance or renewal may, within ten (10) days of the decision, appeal the matter to the director by submitting a written request for a formal hearing to be conducted in accordance with the provisions of § 5-8.1-15 .

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1992, ch. 337, § 1; P.L. 2004, ch. 90, § 1; P.L. 2004, ch. 98, § 1; P.L. 2013, ch. 298, § 3; P.L. 2013, ch. 378, § 3; P.L. 2015, ch. 82, § 5; P.L. 2015, ch. 105, § 5; P.L. 2016, ch. 347, § 2; P.L. 2016, ch. 363, § 2.

5-8.1-11. Board of registration for professional land surveyors — Fees — Payment and disposition.

  1. The fees paid by an applicant for filing an application for examination or for renewal shall be determined by the board and shall not exceed one hundred eighty dollars ($180) per year, plus any administrative costs associated with an application for examination, reexamination, or annual renewal. The administrative costs shall be determined by the board. All revenues received pursuant to this section shall be deposited as general revenues.
  2. The fees paid by an applicant for the examination, for reexamination, or for renewal of any expired certificate shall be determined by the board to cover the direct expenses associated with administering the examination, reexamination, or the renewal of an expired certificate.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 4; P.L. 1992, ch. 337, § 1; P.L. 1995, ch. 370, art. 40, § 8; P.L. 1997, ch. 86, § 1; P.L. 2004, ch. 90, § 1; P.L. 2004, ch. 98, § 1; P.L. 2009, ch. 68, art. 12, § 11; P.L. 2015, ch. 82, § 5; P.L. 2015, ch. 105, § 5.

5-8.1-12. Board of registration for professional land surveyors — Official stamp of professional land surveyor.

  1. A registrant under this chapter may obtain a Rhode Island seal of the design authorized by the board of land surveyors, bearing the registrant’s name, registration number, and the legend “Professional Land Surveyor.” Final surveys, drawings, reports, plats, replats, plans, legal descriptions, and calculations prepared by a registrant shall, when issued, be signed, dated, and stamped with the seal or facsimile of a seal. It is unlawful for a land surveyor to affix, or permit his or her seal or facsimile of a seal to be affixed, to any survey, drawing, report, plan, legal descriptions, plat, replat, report, legal description, or calculations after expiration of a certificate or for the purpose of aiding or abetting any other person to evade or attempt to evade any provisions of this chapter. It is unlawful for any person other than the registered land surveyor who has signed and sealed the survey, drawing, plan, plat, replat, report, legal description, or calculations to modify, change, amend, add, or delete any data, information, lines, angles, or areas shown on the survey, drawing, plan, plat, replat, or report.
  2. Upon revocation or suspension of his or her certificate of registration, or upon expiration of the certificate without renewal, a professional land surveyor shall surrender his or her stamp to the board of land surveyors. The director has the power to institute proceedings in superior court to enforce this subsection.
  3. Upon the death of any professional land surveyor registered under this chapter, that person(s) appointed to administer the estate of the decedent shall surrender the stamp of the deceased professional land surveyor to the board of land surveyors. The director has the power to institute proceedings in superior or probate court to enforce this subsection.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 4; P.L. 1992, ch. 337, § 1; P.L. 1997, ch. 86, § 1; P.L. 2013, ch. 298, § 3; P.L. 2013, ch. 378, § 3.

5-8.1-13. Board of registration for professional land surveyors — Permitted practices.

  1. Exemption clause.  This chapter shall not be construed to prevent or to affect:
    1. Employees and subordinates.  The work of an employee or subordinate of a person holding a certificate of registration under this chapter; provided, that the work does not include final land surveying work or decisions and is done under the direct supervision of, or checked by, a person holding a certificate of registration issued under this chapter.
    2. Federal employees.  The practice by officers and employees of the government of the United States while engaged within this state in the practice of land surveying for the government on property owned by the federal government; provided, that no right to practice land surveying accrues to those persons as to any other land surveying work. The right to registration after government employment shall not be granted except under the provisions prescribed under § 5-8.1-11 .
    3. Other professions.  The practice of engineering, architecture, or landscape architecture.
  2. Sole proprietorship, partnership, limited-liability partnership, corporate, and limited-liability company practice.
    1. The practice, or offer to practice, land surveying, as defined by this chapter, by sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company, subsequently referred to as the “firm,” through individuals is permitted; provided, that the individuals are in direct control of that practice; exercise personal supervision of all personnel who act in behalf of the firm in professional and technical matters; and are registered under the provisions of this chapter; and provided, that the firm has been issued a certificate of authorization by the board of land surveyors.
    2. Within one year after the enactment of this chapter [July 12, 1990], every firm must obtain a certificate of authorization from the board and those individuals in direct control of the practice and who exercise direct supervision of all personnel who act in behalf of the firm in professional and technical matters must be registered with the board. The certificate of authorization shall be issued by the board upon satisfaction of the provisions of this chapter and the payment of an annual fee not to exceed sixty dollars ($60).
    3. It is the intent of the board of registration to establish that the professional land surveyor is responsible for land surveying services.
    4. Every firm desiring a certificate of authorization must file with the board an application for the certificate on a form provided by the board. A separate form provided by the board shall be filed with each renewal of the certificate of authorization, and 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 its judgment, the information contained on the application and renewal form is satisfactory and complete, the board shall issue a certificate of authorization for the firm to practice land surveying in this state.
    5. No firm that has been granted a certificate of authorization by the board of land surveyors is relieved of responsibility for the conduct or acts of its agents, employees, partners (if a partnership or a limited-liability partnership), officers or directors (if a corporation), or members or managers (if a limited-liability company) because of its compliance with the provisions of this section. No individual practicing land-surveying under the provisions of this chapter is relieved of responsibility for land surveying services performed by reason of his or her employment or other relationship with a firm holding a certificate of authorization as subsequently described. In the event of unexpected death, retirement, dismissal, or any other occasion where an entity has one person who is a registered land surveyor, and that person no longer can continue in the operation of the entity, then the board of registration may waive certain requirements for a certificate of authorization for a period of not longer than forty-five (45) days; provided that the entity retains a person who is a registered professional land surveyor to review and pursue the duties of surveying that are required under this chapter.
    6. A land surveyor may not, for the purposes of this section, be designated as being in responsible charge on more than two (2) certificates of authorization.
    7. Certificates of authorization shall be treated for all purposes hereunder, including, but not limited to, renewal, expiration and lapsing, as previously provided for certificates of registration in § 5-8.1-10 ; provided, however, that renewal may be effected at any time prior to or during the month of June of each even-numbered year (meaning biennially) commencing in year 2004.
    8. Limited-liability partnerships, corporations, and limited-liability companies shall submit a copy of their articles of incorporation, articles of organization, or certificate of registration in order to obtain a certificate of authorization from the board of land surveyors.
    9. Corporations, other than those organized under chapter 5.1 of title 7, partnerships, and sole proprietorships practicing in this state prior to July 12, 1990, shall fully comply with the provisions of this section within one year of that date.
  3. Land surveyor previously registered.  Each land surveyor holding a certificate of registration, and each land surveyor-in-training under the laws of this state as previously in effect, shall be deemed registered as a land surveyor or land surveyor-in-training as appropriate under this chapter.
  4. This section does not exempt the political subdivisions of the state, such as county, city, or town, or legally constituted boards, districts, or commissions, from obtaining a certificate of authorization from the board of registration when applicable.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 4; P.L. 1992, ch. 337, § 1; P.L. 1997, ch. 86, § 1; P.L. 2004, ch. 56, § 3; P.L. 2004, ch. 63, § 3; P.L. 2004, ch. 90, § 1; P.L. 2004, ch. 98, § 1; P.L. 2005, ch. 407, § 1; P.L. 2009, ch. 68, art. 12, § 11; P.L. 2016, ch. 347, § 2; P.L. 2016, ch. 363, § 2.

5-8.1-14. Board of registration for professional land surveyors — Unlawful practices.

It is unlawful for any person to practice or offer to practice land surveying in this state, as defined by this chapter, or to use in connection with his or her name or assume or advertise any title or description tending to convey the impression that he or she is a land surveyor unless that person is registered or exempted from registration under the provisions of this chapter.

History of Section. P.L. 1990, ch. 330, § 2.

5-8.1-15. Board of registration for professional land surveyors — Disciplinary actions.

  1. Revocation, suspension, and censure.  After notice and a hearing as provided in this section, the director may in his or her discretion or upon recommendation of the board: (1) Suspend, revoke, or take other permitted action with respect to any certificate of registration; (2) Revoke, suspend, or take other permitted action with respect to any certificate of authorization; (3) Publicly censure, or reprimand or censure in writing; (4) Limit the scope of practice of; (5) Impose an administrative fine, not to exceed one thousand dollars ($1,000) for each violation; (6) Place on probation; and/or (7) For good cause shown, order a reimbursement of the department for all fees, expenses, costs, and attorney’s fees in connection with the proceedings, which amounts shall be deposited as general revenues; all with or without terms, conditions, or limitations, holders of a certificate of registration or a certificate of authorization, hereafter referred to as registrant(s), for any one or more of the causes set out in subsection (b).
  2. Grounds.  The director may take actions specified in subsection (a) for any of the following causes:
    1. Bribery, fraud, deceit, or misrepresentation in obtaining a certificate of registration or certificate of authorization;
    2. Practicing land surveying in another state or country or jurisdiction in violation of the laws of that state, country, or jurisdiction;
    3. Practicing land surveying in this state in violation of the standards of professional conduct established by the board and approved by the director;
    4. Fraud, deceit, recklessness, gross negligence, misconduct, or incompetence in the practice of land surveying;
    5. Use of a land surveyor’s stamp in violation of § 5-8.1-12 ;
    6. Violation of any of the provisions of this chapter or chapter 84 of this title;
    7. Suspension or revocation of the right to practice land surveying before any state or before any other country or jurisdiction;
    8. Conviction of or pleading guilty or nolo contendere to any felony or to any crime of, or an act constituting a crime of, forgery, embezzlement, obtaining money under false pretenses, bribery, larceny, extortion, conspiracy to defraud, or any other similar offense, in a court of competent jurisdiction of this state or any other state or of the federal government;
    9. Failure to furnish to the department and/or board, or any person acting on behalf thereof, in a reasonable time such information as may be legally requested by the department and/or board;
    10. In conjunction with any violation of subsections (b)(1) — (b)(9), any conduct reflecting adversely upon the registrant’s fitness to engage in the practice of land surveying; and
    11. In conjunction with any violation of subsections (b)(1) — (b)(9), any other conduct discreditable to the land surveying profession.
  3. Procedures.
    1. Any person may prefer charges of fraud, deceit, gross negligence, incompetence, or misconduct against any applicant or registrant. In addition, the department or board may, on its own motion, investigate the conduct of an applicant or registrant of the board, and may in appropriate cases file a written statement of charges with the secretary of the board. The charges shall be in writing and shall be sworn to by the person or persons making them and shall be filed with the board of land surveyors. All charges, unless dismissed by the director as unfounded or trivial, shall be heard by the director within three (3) months after the date on which they were referred.
    2. 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 the hearing, shall be personally served on or mailed to the last known address of the registrant at least thirty (30) days before the date fixed for the hearing. At any hearing, the accused registrant or applicant has the right to appear personally and/or by counsel, to cross-examine witnesses appearing against him or her, and to produce evidence and witnesses in his or her defense.
    3. If, after the hearing, the charges are sustained, the director, on his or her own motion or upon recommendation of the board of land surveyors, may in his or her discretion suspend, revoke, or take other permitted action with respect to the certificate of registration or certificate of authorization or publicly censure the registrant, or take any other action and/or order any other penalty permitted by this section.
    4. The director may, at his or her discretion, reissue a certificate of registration or certificate of authorization or renewal to any person or firm denied registration under this section or upon presentation of satisfactory evidence of reform and/or redress.
    5. The board may participate in hearings before the director through representation by the department’s legal staff acting as the prosecuting agent before the director.
  4. Legal counsel.  The department shall make its legal staff available to act as legal advisor to the board and to render any legal assistance that is necessary in carrying out the provisions of this chapter. The director may employ other counsel and necessary assistance to aid in the enforcement of this chapter, and their compensation and expenses shall be paid from the funds of the department.
  5. Nothing in this chapter shall prevent the department and/or board of land surveyors from charging one or both parties a fee for the direct costs associated with hearings and transcripts in accordance with the department’s rules of procedure for administrative hearings.
  6. Nothing in this chapter shall prevent the board from entering into consent agreements or informal resolutions with any party under investigation for violations under this chapter and/or chapter 84 of this title.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 4; P.L. 1992, ch. 337, § 1; P.L. 1999, ch. 290, § 1; P.L. 2004, ch. 90, § 1; P.L. 2004, ch. 98, § 1; P.L. 2013, ch. 298, § 3; P.L. 2013, ch. 378, § 3; P.L. 2021, ch. 400, § 4, effective July 13, 2021; P.L. 2021, ch. 401, § 4, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 4, and P.L. 2021, ch. 401, § 4 enacted identical amendments to this section.

5-8.1-16. Board of registration for professional land surveyors — Appeals.

Any person aggrieved by any decision or ruling of the department may appeal that decision in accordance with the provisions of chapter 35 of title 42.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 2013, ch. 298, § 3; P.L. 2013, ch. 378, § 3.

5-8.1-17. Board of registration for professional land surveyors — Violations and penalties — Injunctions.

  1. No individual shall: (1) Practice or offer to practice land surveying in this state; (2) Use any title, sign, card, or device implying that the individual is a land surveyor or is competent to practice land surveying in this state; (3) Use in connection with his or her name or otherwise any title or description conveying or tending to convey the impression that the individual is a land surveyor or is competent to practice land surveying in this state; or (4) Use or display any words, letters, figures, seals, or advertisements indicating that the individual is a land surveyor or is competent to practice land surveying in this state; unless that individual holds a currently valid certificate issued pursuant to this chapter or is specifically exempted from the certificate requirement under the provisions of this chapter.
  2. It shall be the duty of all duly constituted officers of this state and all political subdivisions of the state to enforce the provisions of this chapter and to prosecute any persons violating those provisions.
  3. No sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company shall: (1) Practice or offer to practice land surveying in this state; (2) Use any title, sign, card, or device implying that the sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company is competent to practice land surveying in this state; (3) Use in connection with its name or otherwise any title or description conveying or tending to convey the impression that the entity is a land surveying firm or is competent to practice land surveying in this state; or (4) Use or display any words, letters, figures, seals, or advertisements indicating that the entity is a land surveying firm or is competent to practice land surveying in this state; unless that sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company complies with the requirements of this chapter.
  4. Any individual, sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company which knowingly and willfully: (1) Violates subsection (a) or (c) of this section; (2) Presents or attempts to use the certificate of registration/authorization of another; (3) Gives any false or forged evidence of any kind to the department and/or board or to any member of the board in obtaining or attempting to obtain a certificate of registration/authorization; (4) Falsely impersonates any other registrant whether of a like or different name; (5) Uses or attempts to use an expired, revoked, or nonexistent certificate of registration/authorization; (6) Falsely claims to be registered under this chapter; or (7) Otherwise violates any provision of this chapter; 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 four thousand dollars ($4,000) for the first offense and a fine of not less than four thousand dollars ($4,000) nor more than ten thousand dollars ($10,000) for each subsequent offense, or imprisonment for not more than one year, or both; in the court’s discretion and upon good cause shown reimburse the department and/or board for any and all fees, expenses, and costs incurred by the department and/or board in connection with the proceedings, including attorney’s fees, which amounts shall be deposited as general revenues; and be subject to, in the board’s discretion, public censure or reprimand.
  5. Either on his or her own initiative or on the recommendation of the board, the director has the power to institute injunction proceedings in superior court to prevent violations of subsection (a) or (c) of this section or violations of § 5-8.1-1 . In injunction proceedings, the director is not required to prove that an adequate remedy at law does not exist, or that substantial or irreparable damage would result from continued violations. The superior court, in its discretion and in addition to any injunctive relief granted to the department, may order that any person or entity in violation of this section shall:
    1. Upon good cause shown, reimburse the department for any and all fees, expenses, and costs incurred by the department and/or board in connection with the proceedings, including attorney’s fees, which amounts shall be deposited as general revenues; and/or
    2. Be subject to public censure or reprimand.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1999, ch. 290, § 1; P.L. 2004, ch. 56, § 3; P.L. 2004, ch. 63, § 3; P.L. 2006, ch. 219, § 1; P.L. 2013, ch. 298, § 3; P.L. 2013, ch. 378, § 3.

5-8.1-18. Board of registration for professional land surveyors — Public works.

This state and its political subdivisions, such as county, city, town or legally constituted board, districts, commissions, or authorities, shall not engage in the practice of land surveying involving either public or private property without the surveying being under the direct charge and supervision of a land surveyor registered under this chapter.

History of Section. P.L. 1990, ch. 330, § 2.

5-8.1-19. Board of registration for professional land surveyors — Duties of recorders.

It is unlawful for the recorder of deeds or the registrar of titles or any city or town clerk or employee of these to accept, file, or record any map, plat, replat, survey, or other documents within the definition of land surveying that do not have impressed on them and affixed to them the personal signature, date, and seal of a professional land surveyor registered under this chapter and by whom or under whose direct supervision the map, plat, replat, survey, or other documents were prepared.

History of Section. P.L. 1990, ch. 330, § 2; P.L. 1991, ch. 304, § 4.

5-8.1-20. Land surveyors rendering assistance during disaster emergency — Immunity from civil liability.

  1. A land surveyor, duly licensed to practice in Rhode Island under this chapter, who voluntarily and without compensation provides land-surveying services at the scene of a disaster emergency, shall not be liable for any personal injury, wrongful death, property damage, or other loss or damages caused by an act or omission of the land surveyor in performing the services.
  2. As used in this section, “disaster emergency” means a disaster emergency declared by executive order or proclamation of the governor pursuant to chapter 15 of title 30.
  3. The immunity provided in subsection (a) applies only to the practice of land surveying as defined in this chapter regarding a land surveying service that:
    1. Concerns a land, air, space, or water resource, whether publicly or privately owned, that is identified pursuant to a disaster emergency executive order or proclamation;
    2. Relates to the integrity of the entire land, air, space, or water resource, or any portion of that resource, and affects public safety; and
    3. Is rendered during the time in which a state of disaster emergency exists, as provided in chapter 15 of title 30.
  4. The immunity granted by this section does not apply to acts or omissions constituting gross negligence or willful misconduct.

History of Section. P.L. 2000, ch. 403, § 3.

Chapter 9 Explosives Act [Repealed.]

5-9-1 — 5-9-16. [Repealed.]

Repealed Sections.

These sections (P.L. 1941, ch. 986, §§ 1-12; G.L. 1956, §§ 5-9-1 5-9-1 6) were repealed by G.L. 1956, § 43-4-16, and P.L. 1966, ch. 216, § 3.

Chapter 10 Barbers, Hairdressers, Cosmeticians, Manicurists and Estheticians

5-10-1. Definitions.

The following words and phrases, when used in this chapter, are construed as follows:

  1. “Apprentice barber” means an employee whose principal occupation is service with a barber who has held a current license as a barber for at least three (3) years with a view to learning the art of barbering, as defined in subsection (14).
  2. “Barber” means any person who shaves or trims the beard; waves, dresses, singes, shampoos, or dyes the hair; or applies hair tonics, cosmetic preparations, antiseptics, powders, oil clays, or lotions to the scalp, face, or neck of any person; or cuts the hair of any person; gives facial and scalp massages; or treatments with oils, creams, lotions, or other preparations.
  3. “Board” means the state board of barbering and hairdressing as provided for in this chapter.
  4. “Department” means the Rhode Island department of health.
  5. “Division” means the division of professional regulation within the department of health.
  6. “Esthetician” means a person who engages in the practice of esthetics, and is licensed as an esthetician.
  7. “Esthetician shop” means a shop licensed under this chapter to do esthetics of any person.
  8. “Esthetics” means the practice of cleansing, stimulating, manipulating, and beautifying skin, including, but not limited to, the treatment of such skin problems as dehydration, temporary capillary dilation, excessive oiliness, and clogged pores.
  9. “Hair design shop” means a shop licensed under this chapter to do barbering or hairdressing/cosmetology, or both, to any person.
  10. “Hairdresser and cosmetician” means any person who arranges, dresses, curls, cuts, waves, singes, bleaches, or colors the hair or treats the scalp, or manicures the nails of any person, either with or without compensation, or who, by the use of the hands or appliances, or of cosmetic preparations, antiseptics, tonics, lotions, creams, powders, oils or clays, engages, with or without compensation, in massaging, cleansing, stimulating, manipulating, exercising, or beautifying, or in doing similar work upon the neck, face, or arms, or who removes superfluous hair from the body of any person.
  11. “Instructor” means any person licensed as an instructor under the provisions of this chapter.
  12. “Manicuring shop” means a shop licensed under this chapter to do manicuring only on the nails of any person.
  13. “Manicurist” means any person who engages in manicuring for compensation and is duly licensed as a manicurist.
  14. “Practice of barbering” means the engaging by any licensed barber in all, or any combination of, the following practices: shaving or trimming the beard or cutting the hair; giving facial and scalp massages or treatments with oils, creams, lotions, or other preparations, either by hand or mechanical appliances; singeing, shampooing, arranging, dressing, curling, waving, chemical waving, hair relaxing, or dyeing the hair or applying hair tonics; or applying cosmetic preparations, antiseptics, powders, oils, clays, or lotions to the scalp, face, or neck.
  15. “Practice of hairdressing and cosmetic therapy” means the engaging by any licensed hairdresser and cosmetician in any one or more of the following practices: the application of the hands or of mechanical or electrical apparatus, with or without cosmetic preparations, tonics, lotions, creams, antiseptics, or clays, to massage, cleanse, stimulate, manipulate, exercise, or otherwise to improve or to beautify the scalp, face, neck, shoulders, arms, bust, or upper part of the body; or the manicuring of the nails of any person; or the removing of superfluous hair from the body of any person; or the arranging, dressing, curling, waving, weaving, cleansing, cutting, singeing, bleaching, coloring, or similarly treating the hair of any person. Provided, however, that the practice of hairdressing and cosmetic therapy shall not include natural hair braiding.
  16. “Practice of manicuring” means the cutting, trimming, polishing, tinting, coloring, or cleansing the nails of any person.
  17. “School” means a school approved under chapter 40 of title 16, as amended, devoted to the instruction in, and study of, the theory and practice of barbering, hairdressing, and cosmetic therapy, esthetics, and/or manicuring.

History of Section. P.L. 1926, ch. 765, § 1; P.L. 1936, ch. 2362, § 1; P.L. 1938, ch. 2585, § 1; G.L. 1938, ch. 263, § 1; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-1 ; P.L. 1974, ch. 246, § 1; P.L. 1986, ch. 378, § 1; P.L. 1988, ch. 314, § 1; P.L. 1993, ch. 289, § 1; P.L. 1999, ch. 43, § 1; P.L. 2015, ch. 141, art. 20, § 2; P.L. 2016, ch. 489, § 1; P.L. 2016, ch. 491, § 1; P.L. 2019, ch. 108, § 1; P.L. 2019, ch. 127, § 1.

Compiler’s Notes.

P.L. 2019, ch. 108, § 1, and P.L. 2019, ch. 127, § 1 enacted identical amendments to this section.

Comparative Legislation.

Hairdressing:

Conn. Gen. Stat. § 20-250 et seq.

Mass. Ann. Laws ch. 112, § 87T et seq.

NOTES TO DECISIONS

Constitutionality.

Former provisions of this section, insofar as they restricted licensed hairdressers and cosmetologists to performing their services for females, lacked a reasonable basis and were therefore unconstitutional violations of the due process clause of U.S. Const., Amend. 14. Christiaan's, Inc. v. Chobanian, 118 R.I. 199 , 373 A.2d 160, 1977 R.I. LEXIS 1446 (1977) (decided prior to 1986 amendment).

Effect of Disapproval.

Suit could not be maintained in equity to enjoin operation of a barber school without approval since operation of such school was a misdemeanor under former § 5-27-32. State v. Conragan, 54 R.I. 256 , 171 A. 326, 1934 R.I. LEXIS 31 (1934) (decided under former § 5-27-21).

Collateral References.

Bias of members of license revocation board. 97 A.L.R.2d 1210.

Constitutionality of statute regulating barbers. 20 A.L.R. 1111; 98 A.L.R. 1088.

Fair Labor Standards Act, barber shops as “service establishment” within. 150 A.L.R. 712.

Grandfather clause of statute or ordinance regulating or licensing. 4 A.L.R.2d 667.

Liability of cosmetology school for injury to patron. 81 A.L.R.4th 444.

Malpractice in treatment of skin disease, disorder, blemish, or scar. 19 A.L.R.5th 563.

Validity, construction, and effect of statute or ordinance regulating beauty culture schools. 56 A.L.R.2d 879.

5-10-2. Creation of division of professional regulation and board of barbering and hairdressing — Powers and duties.

  1. Within the department of health there is a division of professional regulation and a board of barbering and hairdressing. The division shall:
    1. Approve all written and practical examinations;
    2. Issue all licenses and permits subsequently provided for in this chapter;
    3. Serve as the sole inspector of sanitation of all establishments licensed under this chapter;
    4. Make any rules and regulations that the division deems necessary or expedient, in conformity with the provisions of this chapter and not contrary to law, for the conduct of the business of barbering and hairdressing and cosmetic therapy or esthetics and manicuring, for the use of appliances, apparatus, and electrical equipment and machines and the establishment of sanitary requirements in all establishments and of all persons licensed under the provisions of this chapter;
    5. Keep a register of all persons and places of business licensed under this chapter;
    6. Keep complete records of all persons and establishments licensed under this chapter;
    7. Summon witnesses and administer oaths; and
    8. Do all things and perform all acts necessary to enforce the provisions of this chapter.
  2. The board of barbering and hairdressing shall have a policy-making role in selection of the examinations. Subsequent to the administration of the examination, the board of examiners shall review the examinations to evaluate their effectiveness. The board shall supervise the operations of the division of professional regulation in an advisory capacity in promulgating any policy that is necessary to improve the operations of the division in their areas of expertise. The promulgation of that policy is subject to the approval of the director of the department. Members of the board are subject to the provisions of chapter 14 of title 36.

History of Section. P.L. 1926, ch. 765, §§ 6, 8; P.L. 1927, ch. 1026, § 1; P.L. 1928, ch. 1211, § 1; P.L. 1931, ch. 1793, §§ 1, 2; P.L. 1935, ch. 2250, § 118; P.L. 1936, ch. 2262, § 7; G.L. 1938, ch. 263, §§ 2, 7, 8; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-2 ; P.L. 1974, ch. 246, § 1; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1988, ch. 314, § 1; P.L. 1993, ch. 289, § 1; P.L. 2001, ch. 165, § 1.

Cross References.

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

NOTES TO DECISIONS

Delegation of Administration.

The power to enact laws regulating trade or profession for the public cannot be delegated by the legislature, but it may delegate the administration to ministerial and administrative officers or bodies. State v. Conragan, 58 R.I. 313 , 192 A. 752, 1937 R.I. LEXIS 45 (1937).

5-10-3. Board of barbering and hairdressing — Appointments — Organization — Removal of members.

  1. The governor shall appoint seven (7) members to a board of barbering and hairdressing who shall be appointed for a term of four (4) years and until their successors are appointed and qualified. The governor shall appoint one public member, three (3) licensed cosmetologists, and three (3) licensed barbers. However, for the initial board appointments, the three hairdressing members of the current board of hairdressing and the three (3) barber members of the current board of barbering shall be automatically appointed to the board of barbering and hairdressing to fulfill their unexpired terms. To be eligible for appointment to the board, the appointee shall have been a licensed barber or hairdresser and cosmetician, continuously and actively engaged in that practice for at least five (5) years immediately preceding his or her appointment, and not be connected, either directly or indirectly, with any school of barbering, hairdressing, and cosmetic therapy as defined in § 5-10-1(17) , or any establishment dealing in barbering, cosmetic, or hairdressing supplies.
  2. Any member of the board appointed by the governor may be removed by the governor for cause and any vacancy occurring in the membership of the board by that removal shall be filled by the governor by the appointment of a qualified person to serve for the unexpired term.
  3. The division shall keep a record of all proceedings of the board, issue all notices, attest all records, and perform any other duties that are required by the board.
  4. The department is authorized to employ a chief field inspector appointed by the governor and to assist the division in the proper administration of this chapter.

History of Section. G.L. 1938, ch. 263, § 11; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-3 ; P.L. 1977, ch. 228, § 1; P.L. 1983, ch. 263, § 1; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1986, ch. 378, § 1; P.L. 1993, ch. 289, § 1; P.L. 1996, ch. 100, art. 37, § 2.

5-10-4. Board of barbering and hairdressing — Compensation of members.

No member of the board shall be compensated for his or her services for attendance at meetings of the board or attendance at examinations, but shall be reimbursed by the department of health for his or her traveling and other expenses incurred in the performance of his or her duties provided in this chapter.

History of Section. G.L. 1938, ch. 263, § 15; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-4 ; P.L. 1978, ch. 298, § 1; P.L. 1983, ch. 263, § 1; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1988, ch. 314, § 1; P.L. 1989, ch. 367, § 1; P.L. 1993, ch. 289, § 1; P.L. 2005, ch. 117, art. 21, § 5.

5-10-5. [Repealed.]

History of Section. G.L. 1938, ch. 263, § 16; P.L. 1942, ch. 1229, § 1; impl. am. P.L. 1951, ch. 2727, art. 1, § 2; G.L. 1956, § 5-10-5 ; Repealed by P.L. 1986, ch. 378, § 2.

Compiler’s Notes.

Former § 5-10-5 concerned offices for the board of hairdressing.

5-10-6. Meetings of board — Time and notice of examinations.

The board shall meet as often as necessary for the transaction of any business that regularly comes before it. The board shall hold each year, at any times and places within the state that it designates, at least two (2) public examinations for the various classes of licenses that it is empowered to issue. Practical examinations shall be held for those licenses.

History of Section. G.L. 1938, ch. 263, § 12; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-6 ; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1986, ch. 378, § 1; P.L. 1993, ch. 289, § 1.

5-10-7. License required for practice.

No person shall practice barbering, hairdressing, and cosmetic therapy, esthetics, or manicuring in this state unless the person has first obtained a license for that particular practice; provided, that nothing in this chapter prohibits students enrolled in programs of hairdressing, barbering, and/or cosmetology from entering into work-study arrangements after they have completed the requisite hours of classroom instruction for that particular practice. Students participating in those work-study arrangements shall be under the direct supervision of a licensed hairdresser, barber, or cosmetologist, and shall be clearly identified as students. No course credit shall be granted for this students’ participation in a work-study arrangement and in no event shall it continue beyond the students’ graduation from school or completion of course work.

History of Section. P.L. 1926, ch. 765, § 2; P.L. 1936, ch. 2362, § 2; P.L. 1938, ch. 2585, § 2; G.L. 1938, ch. 263, §§ 2, 5; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-7 ; P.L. 1974, ch. 246, § 1; P.L. 1993, ch. 289, § 1; P.L. 1993, ch. 432, § 1; P.L. 2015, ch. 141, art. 20, § 2; P.L. 2016, ch. 489, § 1; P.L. 2016, ch. 491, § 1.

5-10-8. Issuance of licenses — Qualifications of applicants.

  1. The division shall issue licenses to persons engaged in, or desiring to engage in, the practice of barbering, hairdressing and cosmetic therapy and/or manicuring or esthetics and for instructing in any approved school of barbering or hairdressing and cosmetic therapy and manicuring or esthetics; provided, that no license shall be issued to any person under this chapter unless the applicant for the license:
    1. Is at least eighteen (18) years of age;
    2. Is a citizen of the United States of America or has legal entry into the country;
    3. Is of good moral character;
    4. Is a high school graduate or holds the equivalent or has twenty-five (25) or more years of prior experience in the practice for which the license is sought;
    5. Has satisfactorily completed the course of instruction in an approved school of barbering, hairdressing, and cosmetic therapy and/or manicuring or esthetics;
    6. Has satisfactorily passed a written and a practical examination approved by the division to determine the fitness of the applicant to receive a license; and
    7. Has complied with § 5-10-10 and any other qualifications that the division prescribes by regulation.
  2. Notwithstanding the provision of subsection (a)(4), on and after July 1, 1997, an applicant seeking licensure as a barber must be a high school graduate or hold the equivalent combination of education and experience.
  3. The division may license, on a case-by-case basis, with or without examination, any individual who has been licensed as an esthetician, barber, cosmetologist, electrologist, or manicurist under the laws of another state, which, in the opinion of the division, maintains a standard substantially equivalent to that of the state of Rhode Island.

History of Section. P.L. 1926, ch. 765, § 3; P.L. 1927, ch. 1026, § 1; P.L. 1936, ch. 2362, § 3; P.L. 1938, ch. 2585, § 3; G.L. 1938, ch. 263, § 3; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-8 ; P.L. 1974, ch. 246, § 1; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1986, ch. 378, § 1; P.L. 1988, ch. 314, § 1; P.L. 1993, ch. 289, § 1; P.L. 1999, ch. 43, § 1; P.L. 2001, ch. 165, § 1; P.L. 2015, ch. 141, art. 20, § 2; P.L. 2016, ch. 489, § 1; P.L. 2016, ch. 491, § 1; P.L. 2017, ch. 38, § 1; P.L. 2017, ch. 62, § 1.

Cross References.

Board of medical licensure and discipline, § 5-37-1 et seq.

5-10-9. Classes of licenses.

Licenses shall be divided into the following classes and shall be issued by the division to applicants for the licenses who have qualified for each class of license:

  1. A “hairdresser’s and cosmetician’s license” shall be issued by the division to every applicant for the license who meets the requirements of § 5-10-8 and has completed a course of instruction in hairdressing and cosmetology consisting of not less than twelve hundred (1,200) hours of continuous study and practice.
  2. An “instructor’s license” shall be granted by the division to any applicant for the license who has held a hairdresser’s and cosmetician’s license, a barber’s license, a manicurist’s license, or an esthetician’s license, issued under the laws of this state or another state, for at least the three (3) years preceding the date of application for an instructor’s license and:
    1. Meets the requirements of § 5-10-8 ;
    2. Has satisfactorily completed three hundred (300) hours of instruction in hairdressing and cosmetology, barber, manicurist, or esthetician teacher training approved by the division as prescribed by regulation;
    3. Has satisfactorily passed a written and a practical examination approved by the division to determine the fitness of the applicant to receive an instructor’s license;
    4. Has complied with § 5-10-10 ; and
    5. Has complied with any other qualifications that the division prescribes by regulation.
  3. A “manicurist license” shall be granted to any applicant for the license who meets the following qualifications:
    1. Meets the requirements of § 5-10-8 ; and
    2. Has completed a course of instruction, consisting of not less than three hundred (300) hours of professional training in manicuring, in an approved school.
  4. An “esthetician license” shall be granted to any applicant for the license who meets the following qualifications:
    1. Meets the requirements of § 5-10-8 ;
    2. Has completed a course of instruction in esthetics, consisting of not less than six hundred (600) hours of continuous study and practice over a period of not less than four (4) months, in an approved school of hairdressing and cosmetology; and
    3. Any applicant who holds a diploma or certificate from a skin-care school, that is recognized as a skin-care school by the state or nation in which it is located, and meets the requirements of subsection (4)(i) of this section, shall be granted a license to practice esthetics; provided, that the skin-care school has a requirement that, in order to graduate from the school, a student must have completed a number of hours of instruction in the practice of skin care, which number is at least equal to the number of hours of instruction required by the division.
  5. A “barber” license shall be issued by the division to every applicant for the license who meets the requirements of § 5-10-8 and:
    1. Has completed a course of instruction in barbering consisting of not less than one thousand five hundred (1,500) hours of continuous study and practice in an approved school;
    2. Has possessed, for at least two (2) years prior to the filing of the application, a certificate of registration in full force and effect from the department of health of the state specifying that person as a registered, apprentice barber, and the application of that applicant is accompanied by an affidavit, or affidavits, from his or her employer, or former employers, or other reasonably satisfactory evidence showing that the applicant has been actually engaged in barbering as an apprentice barber in the state during those two (2) years; or
    3. A combination of barber school training and apprenticeship training as determined by the rules and regulations prescribed by the division.

History of Section. P.L. 1926, ch. 765, § 2; P.L. 1936, ch. 2362, § 2; P.L. 1938, ch. 2585, § 2; G.L. 1938, ch. 263, §§ 2, 3; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-9 ; P.L. 1974, ch. 246, § 1; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1986, ch. 378, § 1; P.L. 1988, ch. 314, § 1; P.L. 1993, ch. 289, § 1; P.L. 1999, ch. 43, § 1; P.L. 2001, ch. 165, § 1; P.L. 2015, ch. 141, art. 20, § 2; P.L. 2016, ch. 489, § 1; P.L. 2016, ch. 491, § 1; P.L. 2017, ch. 117, § 1; P.L. 2017, ch. 142, § 1.

5-10-9.1. License portability.

Notwithstanding any general law, special law, public law, or rule or regulation to the contrary, any licensed barber, hairdresser, cosmetician, manicurist, or esthetician who operates as an independent contractor at any “hair-design shop” licensed pursuant to § 5-10-15 , shall be permitted to relocate, without obtaining a new license, to another licensed hair-design shop once during the term of their one-year license issued by the department of health.

History of Section. P.L. 2016, ch. 333, § 1; P.L. 2016, ch. 371, § 1.

5-10-10. Application form — Fee — Expiration and renewal of licenses — Fees.

  1. Applications for licenses under § 5-10-9 shall be made upon any forms that are prescribed by the division and are accompanied by an application fee established in regulation. The license of every person licensed under §§ 5-10-8 and 5-10-9 shall expire on the thirtieth (30th) day of October of every other year following the date of license. This is determined on an odd-even basis. On or before the first day of September of every year, the administrator of professional regulation shall mail an application for renewal of license to persons scheduled to be licensed that year on an odd or even basis as to the license number. Every person who wishes to renew his or her license must file with the administrator of professional regulation a renewal application duly executed together with the renewal fee as set forth in § 23-1-54 . Applications, accompanied by the fee for renewal, shall be filed with the division on or before the fifteenth (15th) day of October in each renewal year. Upon receipt of the application and fee, the administrator of professional regulation shall grant a renewal license effective October 1 and expiring two (2) years later on September 30.
  2. Every person who fails to renew his or her license on or before September 30 following the date of issuance as provided in subsection (a) of this section may be reinstated by the division upon payment of the current renewal fee as set forth in § 23-1-54 .
  3. The license shall be on the person at all times while performing the services for which they are licensed.

History of Section. P.L. 1926, ch. 765, § 3; P.L. 1927, ch. 1026, § 1; P.L. 1936, ch. 2362, § 3; P.L. 1938, ch. 2585, § 3; G.L. 1938, ch. 263, § 3; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-10 ; P.L. 1960, ch. 76, § 5; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1986, ch. 378, § 1; P.L. 1986, ch. 390, § 1; P.L. 1993, ch. 289, § 1; P.L. 2001, ch. 77, art. 14, § 1; P.L. 2007, ch. 73, art. 39, § 1; P.L. 2012, ch. 241, art. 9, § 1.

NOTES TO DECISIONS

Constitutionality.

Provision of former § 5-27-23 that no barber school shall charge fees for work done except for tuition does not violate R.I. Const., Art. I, § 10 , or U.S. Const., Amend. 14, as a deprivation of property. State v. Conragan, 54 R.I. 256 , 171 A. 326, 1934 R.I. LEXIS 31 (1934) (decided under former § 5-27-23).

5-10-11. Persons licensed in other states.

  1. Any person licensed to practice barbering, hairdressing, and cosmetic therapy and/or manicuring or esthetics in another state where the requirements are the equivalent of those of this state is entitled to a license as a barber, hairdresser, and cosmetician and/or manicurist or esthetician operator upon the acceptance of his or her credentials by the division; provided, that the state in which that person is licensed extends a similar privilege to licensed barbers, hairdressers, and cosmetic therapists and/or manicurists or estheticians of this state. If a person applies for a hairdressing license who was licensed in another state where the requirements are not equivalent to those of this state, the division shall give to that person one hundred (100) hours instructional credit for three (3) months that the person was licensed and in actual practice, up to a limit of five hundred (500) hours, in order for that person to meet the requirements for a hairdressing license in this state as established under the provisions of §§ 5-10-8 and 5-10-9 .
  2. If a person applies for a manicurist or esthetician license and is currently licensed in another state, that person may be granted a license if he or she passes the written and practical examinations conducted by the division.
  3. The fee for the application is as set forth in § 23-1-54 ; provided, that the provisions of this chapter shall not be construed as preventing persons who have been licensed by examination under the laws of other states of the United States or territories and the District of Columbia from practicing barbering, hairdressing, and cosmetic therapy and/or manicuring or esthetics in this state for a period of three (3) months; provided, that they apply for and are licensed in this state within three (3) months from the commencement of their employment. Nor shall it be construed as prohibiting persons who have been licensed under the laws of another country or territory from practicing barbering, hairdressing, and cosmetic therapy and/or manicuring or esthetics in this state; provided, that practice is in conformity with the rules and regulations of the division; and provided, that in no case shall that practice cover a period of more than three (3) months from the commencement of that employment.

History of Section. P.L. 1926, ch. 765, § 5; P.L. 1938, ch. 2585, § 5; G.L. 1938, ch. 263, §§ 3, 5; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-11 ; P.L. 1968, ch. 45, § 1; P.L. 1971, ch. 214, § 1; P.L. 1974, ch. 246, § 1; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1986, ch. 378, § 1; P.L. 1988, ch. 314, § 1; P.L. 1993, ch. 289, § 1; P.L. 1998, ch. 145, § 1; P.L. 2007, ch. 73, art. 39, § 1; P.L. 2012, ch. 241, art. 9, § 1.

5-10-12. [Repealed.]

History of Section. G.L. 1938, ch. 263, § 3; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-12 ; P.L. 1974, ch. 246, § 1; P.L. 1985, ch. 181, art. 53, § 1; Repealed by P.L. 1986, ch. 378, § 2, effective June 25, 1986.

Compiler’s Notes.

Former § 5-10-12 concerned publication of notice of applicants for licensure.

5-10-13. [Repealed.]

History of Section. G.L. 1938, ch. 263, § 3; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-13 ; P.L. 1960, ch. 76, § 5; P.L. 1974, ch. 246, § 1; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1986, ch. 378, § 1; P.L. 1986, ch. 390, § 1; P.L. 1993, ch. 289, § 1; P.L. 2001, ch. 77, art. 14, § 1; P.L. 2007, ch. 73, art. 39, § 1; P.L. 2012, ch. 241, art. 9, § 1; Repealed by P.L. 2015, ch. 141, art. 20, § 3, effective June 30, 2015.

Compiler’s Notes.

Former § 5-10-13 concerned demonstrator’s permit.

5-10-14. [Repealed.]

History of Section. G.L. 1938, ch. 263, § 3; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-14 ; P.L. 1974, ch. 246, § 1; P.L. 1985, ch. 181, art. 53, § 1; Repealed by P.L. 1986, ch. 378, § 2.

Compiler’s Notes.

Former § 5-10-14 concerned student registration certificates.

5-10-15. Licensing of shops.

  1. No shop, place of business, or establishment shall be opened or conducted within the state by any person, association, partnership, corporation, or otherwise for the practice of barbering, manicuring and/or hairdressing and cosmetic therapy or esthetics until the time that application for a license to operate that shop, place of business, or establishment for the practice of manicuring and/or hairdressing and cosmetic therapy or esthetics is made, to the division, in the manner and on the forms that it prescribes, and a license, under the terms and conditions, not contrary to law, that the division requires, shall be granted for it and a license issued.
    1. No licenses shall be granted to any shop, place of business, or establishment for the practice of hairdressing and cosmetic therapy unless the proprietor or a supervising manager in the practice of barbering, hairdressing and cosmetic therapy, of the shop, place of business, or establishment is licensed and has been licensed as a licensed barber or hairdresser and cosmetician for a period of at least one year immediately prior to the filing of the application for the license.
    2. No license shall be granted to any shop, place of business, or establishment for the practice of manicuring or esthetics unless the proprietor or a supervising manager of the proprietor is licensed and has been licensed as a licensed barber, hairdresser and cosmetician, manicurist or esthetician for a period of at least one year immediately prior to the filing of the application for the license.
    3. The supervising manager shall be registered with the division as the manager of a licensed shop and shall only be registered to manage one shop at a time. The proprietor of the licensed shop and the manager shall notify the division, in writing, within ten (10) days upon the termination of employment as the manager of the licensed shop. The license of the shop shall expire forty-five (45) days after the division is notified by the proprietor if no new manager is registered with the division as the supervising manager of the shop.
  2. All licenses issued under this section shall terminate on the first day of July following the date of issue. The fee for the license is as set forth in § 23-1-54 .

History of Section. P.L. 1926, ch. 765, § 2; P.L. 1936, ch. 2362, § 2; P.L. 1938, ch. 2585, § 2; G.L. 1938, ch. 263, §§ 2, 4; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-15 ; P.L. 1960, ch. 76, § 5; P.L. 1974, ch. 246, § 1; P.L. 1978, ch. 67, § 1; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1986, ch. 378, § 1; P.L. 1986, ch. 390, § 1; 1987, ch. 255, § 1; 1987, ch. 392, § 1; P.L. 1993, ch. 289, § 1; P.L. 2001, ch. 77, art. 14, § 1; P.L. 2007, ch. 73, art. 39, § 1; P.L. 2012, ch. 241, art. 9, § 1.

Cross References.

Discriminatory practices as to accommodations prohibited, § 11-24-1 et seq.

5-10-16. [Repealed.]

History of Section. P.L. 1926, ch. 765, § 2; P.L. 1938, ch. 2585, § 2; G.L. 1938, ch. 263, §§ 2, 8; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-16 ; P.L. 1974, ch. 246, § 1; P.L. 1993, ch. 289, § 1; Repealed by P.L. 2018, ch. 176, § 5, effective July 2, 2018; P.L. 2018, ch. 289, § 5, effective July 2, 2018.

Compiler’s Notes.

Former § 5-10-16 concerned application of zoning laws.

5-10-17, 5-10-18. [Repealed.]

Repealed Sections.

Former §§ 5-10-17 and 5-10-18 (P.L. 1926, ch. 765, §§ 4, 12; P.L. 1927, ch. 1026, § 1; P.L. 1936, ch. 2362, §§ 4, 8; P.L. 1938, ch. 2585, § 4; G.L. 1938, ch. 263, §§ 4, 9, 10; P.L. 1942, ch. 1229, § 1; G.L. 1956, §§ 5-10-17 , 5-10-18; P.L. 1974, ch. 246, § 1; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1986, ch. 378, § 1; P.L. 1986, ch. 390, § 1), concerning requirements for approval of schools and certificates of approval of schools, were repealed by P.L. 1988, ch. 314, § 2.

5-10-19. Application forms.

The division shall prepare and furnish any forms to be used by applicants for the various licenses, permits, registrations, and certificates provided for in this chapter, that it deems proper and expedient.

History of Section. G.L. 1938, ch. 263, § 12; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-19 ; P.L. 1985, ch. 181, art. 53, § 1.

5-10-20. Electrolysis not permitted by license.

No license issued under any of the provisions of this chapter shall be construed to authorize, as a part of the practice of hairdressing and cosmetic therapy, the practice of “electrolysis,” which, for the purpose of this chapter, is defined as the insertion of an electrically heated instrument at the root of a hair to prevent the growth of the hair.

History of Section. G.L. 1938, ch. 263, § 18; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-20 .

Cross References.

License for practice of electrolysis, § 5-32-1 et seq.

5-10-21. Advertising.

No person or establishment licensed under the provisions of this chapter shall advertise by written or spoken words of a character tending to deceive or mislead the public.

History of Section. P.L. 1981, ch. 275, § 7.

Repealed Sections.

The former section (G.L. 1938, ch. 263, § 13; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-21 ; P.L. 1974, ch. 246, § 1), concerning price and hour regulations and limiting the number of schools, was repealed by P.L. 1981, ch. 275, § 6.

NOTES TO DECISIONS

Constitutionality.

Former provision prohibiting the advertising of prices, fees, charges or rates for performing or rendering any operation or service in the hairdressing business was unconstitutional and void as being contrary to the provisions of U.S. Const., Amend. XIV, § 1, in that it constituted an arbitrary and unreasonable restriction on the licensee’s liberty of contract and a taking of property without due process of law. Haigh v. State Bd. of Hairdressing, 76 R.I. 512 , 72 A.2d 674, 1950 R.I. LEXIS 27 (1950) (decision under prior law).

5-10-22. [Repealed.]

History of Section. P.L. 1926, ch. 765, §§ 2, 16; P.L. 1936, ch. 2362, § 12; P.L. 1938, ch. 2585, § 2; G.L. 1938, ch. 263, §§ 2, 6, 13; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-22 ; P.L. 1974, ch. 246, § 1; Repealed by P.L. 1981, ch. 275, § 6.

Compiler’s Notes.

Former § 5-10-22 concerned price advertising and false advertising. For present provisions of law, see § 5-10-21 .

5-10-23. Fixed place of business.

  1. Except as provided in this section, manicuring, esthetics, barbering and/or hairdressing and cosmetic therapy, as defined in this chapter, shall be practiced only in a shop licensed under § 5-10-15 . Nothing contained in this chapter shall be construed to prohibit the practice of barbering, manicuring, and hairdressing and cosmetic therapy and esthetics in the same shop or place of business.
  2. Nothing in this section shall restrict a hairdresser licensed pursuant to this chapter, operating in a licensed nursing service agency, from providing services to an individual who is homebound at their home. For purposes of this section, “homebound” is defined as any person who is considered housebound for purpose of federal Medicare eligibility.
  3. Nothing in this section shall restrict any person licensed pursuant to this chapter from providing services to an individual who is homebound at their home as verified by a licensed healthcare professional.
  4. Nothing in this section shall restrict or prohibit any person licensed pursuant to this chapter from providing services to an individual residing in any Department of Housing and Urban Development (H.U.D.) recognized housing for the elderly in the H.U.D. recognized housing in which the individual resides. Those services shall be provided in a separate room inspected by the department of health. Students enrolled in programs of hairdressing, barbering and/or cosmetology are prohibited in H.U.D. recognized housing.
  5. Nothing in this section shall restrict or prohibit any person licensed pursuant to this chapter from providing services to an individual outside a licensed shop as part of a special occasion event, such as a wedding or prom, so long as those services are limited to hair styling and makeup, and the health and sanitation standards expected of licensees in licensed shops are followed.

History of Section. G.L. 1938, ch. 263, § 17; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-23 ; P.L. 1974, ch. 246, § 1; P.L. 1986, ch. 378, § 1; P.L. 1988, ch. 314, § 1; P.L. 1993, ch. 289, § 1; P.L. 1993, ch. 432, § 1; P.L. 1996, ch. 44, § 1; P.L. 2014, ch. 426, § 1; P.L. 2014, ch. 450, § 1.

5-10-24. [Repealed.]

History of Section. P.L. 1926, ch. 765, §§ 8, 13; P.L. 1928, ch. 1211, § 1; P.L. 1931, ch. 1793, § 2; P.L. 1936, ch. 2362, §§ 7, 9; P.L. 1938, ch. 2585, § 6; G.L. 1938, ch. 263, §§ 8, 10, 12; G.L. 1956, § 5-10-24 ; P.L. 1960, ch. 76, § 5; P.L. 1974, ch. 246, § 1; P.L. 1985, ch. 181, art. 53, § 1; Repealed by P.L. 1986, ch. 378, § 2; P.L. 1986, ch. 390, § 2.

Compiler’s Notes.

Former § 5-10-24 concerned publication of rules and regulations and license cards.

5-10-25. Inspection powers of the division — Denial of access.

Any person employed, authorized, and empowered by the division of professional regulation may enter any shop, place of business, or establishment licensed under the provisions of this chapter during the hours the shop, place of business, establishment, or school of barbering, manicuring, or hairdressing and cosmetic therapy is open for business, for the purpose of inspecting its sanitary conditions and ascertaining if the provisions of this chapter and the rules and regulations for the practice of barbering, hairdressing, and cosmetic therapy as established by the division are being observed in the operation of that shop or place of business, and failure or refusal of the person in charge of that shop, place of business, establishment, or school to permit inspection at all reasonable times is deemed sufficient cause for the revocation of any license issued to that shop, place of business, or establishment and any certificate of approval issued by the division.

History of Section. P.L. 1926, ch. 765, § 8; P.L. 1928, ch. 1211, § 1; P.L. 1931, ch. 1793, § 2; P.L. 1936, ch. 2362, § 7; G.L. 1938, ch. 263, §§ 8, 9; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-25 ; P.L. 1974, ch. 246, § 1; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1988, ch. 314, § 1; P.L. 1993, ch. 289, § 1; P.L. 1999, ch. 43, § 1.

NOTES TO DECISIONS

Constitutionality.

Provision of former § 5-27-27 authorizing entry of barber shops for the purpose of ascertaining the sanitary condition thereof does not violate R.I. Const., Art. I, § 6 in that the entry authorized is without a warrant, since the entry is for the purpose of inspection only and not for the purpose of seizure. State v. Armeno, 29 R.I. 431 , 72 A. 216, 1909 R.I. LEXIS 33 (1909) (decided under former § 5-27-27).

5-10-26. Revocation or suspension of license, permit, or certificate.

Any license, permit, certificate of approval, or registration issued by the division under this chapter, or any section of this chapter, may be revoked or suspended by the division for violation of any provision of this chapter, failure to comply with any rules and regulations, not contrary to law, that the division adopts for the sanitation, regulation, and control of the practice of barbering, manicuring or hairdressing and cosmetic therapy, and for any other cause, or for any other cause, that the division deems sufficient; provided, that no license, permit, certificate of approval, or regulation shall be suspended or revoked without the holder of the license, permit, certificate of approval, or registration first being given ten (10) days’ notice, in writing, specifying the complaint made and the charges preferred against the accused and a reasonable opportunity given the accused to present evidence and testimony and to be represented by counsel at a hearing or hearings, to be held by the division upon the complaint and charges preferred against the accused.

History of Section. P.L. 1926, ch. 765, § 15; P.L. 1927, ch. 1026, § 1; P.L. 1936, ch. 2362, § 11; G.L. 1938, ch. 263, §§ 7, 12; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-26 ; P.L. 1974, ch. 246, § 1; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1988, ch. 314, § 1; P.L. 1993, ch. 289, § 1.

NOTES TO DECISIONS

Constitutionality.

This chapter, in permitting the renewal of certificates of approval of schools of hairdressing and cosmetic therapy to be refused without notice or hearing while providing for notice and hearing upon revocation of such certificates, was not violative of the equal protection clause of U.S. Const., Amend. 14, § 1, as there was a reasonable ground for classification on the grounds of public health and all those in the class were treated the same. State v. Conragan, 58 R.I. 313 , 192 A. 752, 1937 R.I. LEXIS 45 (1937) (decision under prior law).

The statute, in permitting refusal to renew certificate without notice and hearing, was not violative of the equal protection clause of U.S. Const., Amend. 14, even though the statute provided for notice and hearing upon revocation, as there was a reasonable ground for classification on basis of public health and all those in the class were treated the same. State v. Conragan, 58 R.I. 313 , 192 A. 752, 1937 R.I. LEXIS 45 (1937) (decision under prior law).

The statute in permitting refusal to renew certificate without notice and hearing, was not violative of R.I. Const., Art. III , as delegating legislative and judicial power, since the statute delegated only power to make necessary determinations in administration where standard and penalty were set. State v. Conragan, 58 R.I. 313 , 192 A. 752, 1937 R.I. LEXIS 45 (1937) (decision under prior law).

Nature of Proceedings.

R.I. Const., Art. I, § 10 , requiring a speedy and public trial by an impartial jury in criminal prosecutions did not apply to a proceeding under former § 5-27-28, since it was not a criminal prosecution. State v. Armeno, 29 R.I. 431 , 72 A. 216, 1909 R.I. LEXIS 33 (1909).

5-10-27. Reinstatement after revocation or suspension.

A license, permit, certificate of approval, or registration suspended or revoked pursuant to § 5-10-26 may, in the discretion of the division, be reinstated or reissued under any terms and conditions, not contrary to law, that the division requires.

History of Section. P.L. 1926, ch. 765, § 15; P.L. 1927, ch. 1026, § 1; P.L. 1936, ch. 2362, § 11; G.L. 1938, ch. 263, §§ 7, 12; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-27 ; P.L. 1985, ch. 181, art. 53, § 1.

5-10-28. Appeals.

Any person aggrieved by any decision or ruling of the division may appeal it to the administrator of the division or his or her designee. A further appeal may then be made to the appropriate board of examiners. Any person aggrieved by any decision or ruling of the board may appeal it to the director of the department. Any further appeal from the action of the director is in accordance with the provisions of chapter 35 of title 42. For the purpose of this section the division is considered a person.

History of Section. P.L. 1926, ch. 765, § 15; P.L. 1927, ch. 1026, § 1; P.L. 1936, ch. 2362, § 11; G.L. 1938, ch. 263, §§ 7, 12; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-28 ; P.L. 1985, ch. 181, art. 53, § 1.

Rules of Court.

For rule prescribing review of administrative action, see Super. Ct. R. Civ. P. 80.

NOTES TO DECISIONS

Refusal to Renew.

Permitting the denial of an application for renewal of certificate of approval of school of hairdressing and cosmetic therapy did not violate the due process clauses of the state and federal constitutions, since any arbitrary refusal based on whim, caprice or ill-will was subject to review. State v. Conragan, 58 R.I. 313 , 192 A. 752, 1937 R.I. LEXIS 45 (1937) (decision under prior law).

Review of Superior Court Decision.

Where hairdresser had appealed to superior court from ruling suspending license, appropriate procedure for review of superior court’s decision was by bill of exceptions rather than an appeal. Haigh v. State Bd. of Hairdressing, 76 R.I. 512 , 72 A.2d 674, 1950 R.I. LEXIS 27 (1950) (decision under prior law).

5-10-29. Persons exempt from chapter.

  1. The provisions and penalties of this chapter do not apply to licensed physicians, osteopaths, chiropractors, registered nurses, or natural hair braiders, when acting within the scope of their professions or occupations as defined by law.
  2. Natural hair braiding.  Natural hair braiding is a service of twisting, wrapping, weaving, extending, locking, or braiding hair by hand or with mechanical devices.
    1. Natural hair braiding includes:
      1. The use of natural or synthetic hair extensions, natural or synthetic hair and fibers, decorative beads, and other hair accessories;
      2. Minor trimming of natural hair or hair extensions incidental to twisting, wrapping, weaving, extending, locking, or braiding hair;
      3. The use of topical agents, such as conditioners, gels, moisturizers, oils, pomades, and shampoos in conjunction with hair braiding;
      4. The making of wigs from natural hair, natural fibers, synthetic fibers, and hair extensions; and
      5. “Mechanical devices” means clips, combs, crochet hooks, curlers, curling irons, hairpins, rollers, scissors, blunt-tipped needles, thread, and hair binders.
    2. Natural hair braiding is commonly known as “African-style hair braiding” but is not limited to any particular cultural, ethnic, racial, or religious forms of hair styles.
    3. Natural hair braiding does not include:

      (i) The application of dyes, reactive chemicals, or other preparations to alter the color of the hair or to straighten, curl, or alter the structure of the hair; or

      (ii) The use of chemical hair joining agents, such as synthetic tape, keratin bonds, or fusion bonds.

  3. Any violation of this section shall result in a fine of fifty dollars ($50.00) for a first violation, one hundred dollars ($100) for a second violation, and one hundred fifty dollars ($150) for each subsequent violation.

History of Section. P.L. 1926, ch. 765, § 18; P.L. 1927, ch. 1026, § 1; G.L. 1938, ch. 263, §§ 15, 19; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-29 ; P.L. 2019, ch. 108, § 1; P.L. 2019, ch. 127, § 1.

Compiler’s Notes.

P.L. 2019, ch. 108, § 1, and P.L. 2019, ch. 127, § 1 enacted identical amendments to this section.

Cross References.

Chiropractors, § 5-30-1 et seq.

Physicians, § 5-37-1 et seq.

5-10-30. Penalty for violations.

Any violation of this chapter or any of the provisions of this chapter shall be a misdemeanor and any person, association, partnership, or corporation convicted of a violation of this chapter shall be fined not exceeding two hundred dollars ($200), or imprisoned not exceeding three (3) months, or both.

History of Section. P.L. 1926, ch. 765, § 16; P.L. 1936, ch. 2362, § 12; G.L. 1938, ch. 263, §§ 13, 21; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-30 .

5-10-31. Prosecution of violations.

Complaints for violations of the provisions of this chapter shall be made by the division, the board of hairdressing, or a member or any person authorized by the division, and the complainant shall not be required to recognize for costs; provided, that if the division, board, or any member refuses or unreasonably neglects to prosecute a violation of this chapter, any person holding any license issued by the division may complain to the attorney general, who shall assign a member of his or her department to investigate the complaint and, if reasonable cause for the complaint is found to exist, shall diligently prosecute the person, association, partnership, or corporation violating the provisions of this chapter or portion of this chapter.

History of Section. P.L. 1926, ch. 765, § 17; P.L. 1936, ch. 2362, § 13; G.L. 1938, ch. 263, §§ 14, 20; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-31 ; P.L. 1985, ch. 181, art. 53, § 1.

5-10-32. Enforcement of chapter.

The division is specifically charged with the enforcement of this chapter; shall investigate all complaints for violations of the provisions of this chapter; shall hold a hearing upon any complaint for any violation of the chapter within thirty (30) days after the filing of the complaint; and render a decision, in writing, within ten (10) days from the close of the hearing. If the division finds that any of the provisions of this chapter have been violated, it shall immediately institute any criminal prosecution that the violation warrants.

History of Section. P.L. 1935, ch. 2250, § 110; G.L. 1938, ch. 263, §§ 12, 16; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-32 ; P.L. 1985, ch. 181, art. 53, § 1; P.L. 1986, ch. 378, § 1.

Cross References.

Functions of department of health, § 42-18-1 .

5-10-33. Payment of fees.

All fees that are required to be paid under the provisions of this chapter shall be paid to the department of health and deposited as general revenues.

History of Section. G.L. 1938, ch. 263, § 22; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-33 ; P.L. 1995, ch. 370, art. 40, § 9.

5-10-34. [Repealed.]

History of Section. G.L. 1938, ch. 263, § 14; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-34 ; Repealed by P.L. 1985, ch. 181, art. 53, § 2.

Compiler’s Notes.

Former § 5-10-34 concerned appropriations, disbursements, and disposition of fees.

5-10-35. Severability.

If any provision or provisions of this chapter or the application of the chapter to any person or circumstance is held invalid by a court of competent authority, that invalidity does not affect other provisions or applications of this chapter that can be given effect without that invalid provision or provisions or application of the provision or provisions, and to this end the provisions of this chapter are declared to be separable.

History of Section. G.L. 1938, ch. 263, § 23; P.L. 1942, ch. 1229, § 1; G.L. 1956, § 5-10-35 .

5-10-36. Receipts.

All proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1985, ch. 181, art. 53, § 3; P.L. 1989, ch. 126, art. 26, § 10; P.L. 1995, ch. 370, art. 40, § 9.

5-10-37, 5-10-38. [Repealed.]

Repealed Sections.

Former §§ 5-10-37 and 5-10-38 (P.L. 1992, ch. 200, § 1), concerning graduate hairdressers and cosmeticians, manicurists, estheticians and instructors, and failure to qualify, were repealed by P.L. 1993, ch. 289, § 1, effective January 1, 1994.

5-10-39. Demonstrator’s permit.

The division may, in its discretion, issue to any person recognized by the division as an authority on, or an expert in, the theory or practice of barbering, hairdressing, and cosmetic therapy and/or manicuring or esthetics, and is the holder of a current esthetician’s, manicurist’s or a barber’s, hairdresser’s, and cosmetician’s license in this state, another state, or the District of Columbia, a demonstrator’s permit for not more than six (6) days’ duration for educational and instructive demonstrations; provided, that the permit shall not be used in the sense of a license to practice barbering, manicuring, esthetics, or hairdressing and cosmetic therapy. The fee for the permit is as set forth in § 23-1-54 .

History of Section. P.L. 2016, ch. 489, § 2; P.L. 2016, ch. 491, § 2.

Chapter 11 Hawkers and Peddlers

5-11-1. [Repealed.]

History of Section. G.L. 1896, ch. 162, § 6; G.L. 1909, ch. 191, § 6; G.L. 1923, ch. 219, § 6; G.L. 1938, ch. 365, § 6; P.L. 1960, ch. 76, § 6; Repealed by P.L. 1995, ch. 174, § 1, effective July 3, 1995; P.L. 1995, ch. 185, § 1, effective July 3, 1995.

Compiler’s Notes.

Former § 5-11-1 concerned license for sale of watches, jewelry, gold, and silver.

5-11-1.1. “Hawkers,” “peddlers,” and “door-to-door salespersons” defined — Authority to issue rules and regulations.

  1. For purposes of this chapter:
    1. “Door-to-door salespersons” means persons who deliver goods, wares, or merchandise to customers for which payment has already been made or is to be made at the time of delivery;
    2. “Hawker” means any person selling or offering for sale any goods, wares, or merchandise, including any food or beverage, on any public street, highway, or public right of way in the state from a stationary location;
    3. “Peddler” means any person selling or offering for sale any goods, wares, or merchandise from a vehicle, cart, or any other conveyance that is not stationary, subject to subsection (c); and
    4. No “hawker” or “peddler” shall sell or offer for sale any single good, ware, or item having a retail value of more than three hundred dollars ($300). However, this dollar limitation shall not apply to any nonprofit corporation duly authorized to do business in Rhode Island. A nonprofit corporation means a nonprofit corporation that has applied under 26 U.S.C. § 501(c)(3) for approval as a § 501(c)(3) corporation with the Internal Revenue Service, or has been so approved.
  2. Persons selling farm or garden produce, including flowers, and persons selling works of art or crafts of their own making at an art or crafts show or exhibition are not hawkers or peddlers, provided, that:
    1. Cumberland.  The town of Cumberland has the power to license and regulate persons selling farm or garden produce, including flowers, and persons selling works of art or crafts of their own making at an art or crafts show or exhibition;
    2. West Warwick.  The town of West Warwick has the power to license and regulate persons selling farm or garden produce, including flowers, and persons selling works of art or crafts of their own making at an art or crafts show or exhibition;
    3. Bristol.  The town of Bristol has the power to license and regulate persons selling farm or garden produce, including flowers, and persons selling works of art or crafts of their own making at an art or crafts show or exhibition;
    4. Warwick.  The city of Warwick has the power to license and regulate persons selling farm or garden produce, including flowers, and persons selling works of art or crafts of their own making at an art or crafts show or exhibition;
    5. East Providence.  The city of East Providence has the power to license and regulate persons selling farm or garden produce, including flowers; and
    6. Woonsocket.  The city of Woonsocket has the power to license and regulate peddlers selling or offering flowers.
  3. “Mobile food establishments” registered pursuant to chapter 11.1 of this title, and any regulations promulgated thereunder, are not hawkers or peddlers and are explicitly exempted from this chapter.

History of Section. P.L. 1987, ch. 86, § 1; P.L. 1988, ch. 466, § 1; P.L. 1995, ch. 174, § 1; P.L. 1995, ch. 185, § 1; P.L. 1996, ch. 76, § 1; P.L. 1999, ch. 316, § 1; P.L. 2002, ch. 87, § 1; P.L. 2002, ch. 277, § 1; P.L. 2002, ch. 350, § 1; P.L. 2005, ch. 40, § 1; P.L. 2005, ch. 160, § 1; P.L. 2017, ch. 442, § 1; P.L. 2017, ch. 445, § 1; P.L. 2018, ch. 80, § 1; P.L. 2018, ch. 94, § 1.

Cross References.

Mobile food establishments exempted from this chapter, see § 5-11.1-2 .

Comparative Legislation.

Hawkers and peddlers:

Conn. Gen. Stat. § 21-36 et seq.

Mass. Ann. Laws ch. 101, § 13 et seq.

5-11-2 — 5-11-4. [Repealed.]

Repealed Sections.

Sections 5-11-2 and 5-11-3 (G.L. 1896, ch. 162, § 6; G.L. 1909, ch. 191, § 6; G.L. 1923, ch. 219, § 6; G.L. 1938, 365, § 6; P.L. 1960, ch. 76, § 6; P.L. 1987, ch. 86, § 2; P.L. 1993, ch. 353, § 1), relating to licenses for peddling of general merchandise and licenses for patented articles, were repealed by P.L. 1995, ch. 174, § 1 and P.L. 1995, ch. 185, § 1, effective July 3, 1995.

Section 5-11-4 (G.L. 1896, ch. 162, § 7; G.L. 1909, ch. 191, § 7; G.L. 1923, ch. 219, § 7; G.L. 1938, ch. 365, § 7; G.L. 1956, § 5-11-4; P.L. 1960, ch. 76, § 6), concerning a fee payable to the state for the issuance of a license, was repealed by P.L. 1987, ch. 86, § 3, effective June 17, 1987.

5-11-5. List of licenses issued.

Each town and city shall, at the time of issuing a license, enter upon a list kept for that purpose the name of the licensed person, the kind of license, and the time of the expiration of the license, and also furnish to any person who may request it a statement, copied from that list, of all licenses that may be or may have been in force during any period designated by the person requesting the statement.

History of Section. G.L. 1896, ch. 162, § 8; G.L. 1909, ch. 191, § 8; G.L. 1923, ch. 219, § 8; G.L. 1938, ch. 365, § 8; G.L. 1956, § 5-11-5 ; P.L. 1995, ch. 174, § 1; P.L. 1995, ch. 185, § 1.

5-11-6 — 5-11-10. [Repealed.]

Repealed Sections.

These sections (G.L. 1896, ch. 162, §§ 1, 10 — 12, 15; P.L. 1899, ch. 622, § 1; P.L. 1902, ch. 1060, § 1; G.L. 1909, ch. 191, §§ 1, 10 — 12, 15; G.L. 1923, ch. 219, §§ 10 — 12, 15; P.L. 1937, ch. 2529, § 1; G.L. 1938, ch. 365, §§ 1, 10 — 12, 15; P.L. 1987, ch. 86, § 2), concerning personal license and its transfer, free veteran’s license, religious publications, peddling of hand manufacturer of wearing apparel, and hawking or peddling without a license, were repealed by P.L. 1995, ch. 174, § 1 and ch. 185, § 1, effective July 3, 1995.

5-11-11. Sales or offers as separate offenses.

Every individual sale or offer for sale made contrary to the provisions of this chapter shall be deemed and construed as a distinct and separate offense, and the person making the sale or offer of sale shall be prosecuted for the offense in the manner subsequently prescribed.

History of Section. G.L. 1896, ch. 162, § 4; G.L. 1909, ch. 191, § 4; G.L. 1923, ch. 219, § 4; G.L. 1938, ch. 365, § 4; G.L. 1956, § 5-11-11 .

5-11-12. Arrest of violators — Detention of merchandise.

Any state police officer, any police officer of any city or town who has probable cause to believe a person has violated the provisions of this chapter, and any deputy sheriff, town sergeant, or town constable within his or her precinct who has probable cause to believe a person has violated the provisions of this chapter, may arrest that person, and may also detain any goods, wares, or other merchandise that the arrested person has with him or her at the time of his or her arrest, for the purpose of hawking and peddling; and the arresting officer detaining the goods, wares, or merchandise shall be allowed a reasonable compensation for the safekeeping and care of the merchandise and property, to be taxed in the costs of prosecution and conviction for the offense.

History of Section. G.L. 1896, ch. 162, § 2; G.L. 1909, ch. 191, § 2; G.L. 1923, ch. 219, § 2; G.L. 1938, ch. 365, § 2; G.L. 1956, § 5-11-12 ; P.L. 1987, ch. 86, § 2; P.L. 2012, ch. 324, § 12; P.L. 2015, ch. 260, § 4; P.L. 2015, ch. 275, § 4.

5-11-13. Recognizance of prosecuting officer.

Any arresting officer named in § 5-11-12 , except a state police officer or city or town police officer prosecuting any person complained of under the provisions of this chapter, shall be required to give his or her personal recognizance only for the payment of costs.

History of Section. G.L. 1896, ch. 162, § 3; G.L. 1909, ch. 191, § 3; G.L. 1923, ch. 219, § 3; G.L. 1938, ch. 365, § 3; G.L. 1956, § 5-11-13 ; P.L. 1987, ch. 86, § 2.

5-11-14. Complaint of violations — Forfeiture of property.

Whenever complaint is made to any justice or clerk of a district court within his or her district that any person within the district is selling or offering for sale any article contrary to the provisions of § 5-11-18 , the justice or clerk shall examine the complainant under oath, reduce his or her complaint to writing, and sign the complaint. If the complainant then enters into a recognizance in a sum not exceeding fifty dollars ($50.00), with any surety that the justice or clerk directs and approves, to prosecute the complaint to final judgment with effect, or in default of the judgment to pay the costs that may accrue on it, the justice or clerk shall issue a warrant to seize the article or articles offered for sale, together with all prohibited merchandise then in the immediate possession of the person complained of, with the packs, packages, carriage and horse or other vehicle, in which those articles have been transported; and to summon the person to appear before the district court and show cause why all the property shall not be adjudged forfeited. If, upon trial, it appears that the complaint is true, then the seized property shall be forfeited.

History of Section. G.L. 1896, ch. 162, § 5; G.L. 1909, ch. 191, § 5; G.L. 1923, ch. 219, § 5; G.L. 1938, ch. 365, § 5; G.L. 1956, § 5-11-14 ; P.L. 1995, ch. 174, § 1; P.L. 1995, ch. 185, § 1.

5-11-15. Liability for costs on failure to show license.

Every person selling or offering for sale as a hawker or peddler any goods, wares, or merchandise, who neglects or refuses for the space of ten (10) minutes to show a license then in force, and allow the license to be read after being requested by any inhabitant of the state, or any person having a license under this chapter to show his or her license, shall, if sued or prosecuted under this chapter, be adjudged to pay all the costs of the suit or prosecution, although it appears on trial that he or she had an issued license in force at the time of the alleged offense.

History of Section. G.L. 1896, ch. 162, § 9; G.L. 1909, ch. 191, § 9; G.L. 1923, ch. 219, § 9; G.L. 1938, ch. 365, § 9; G.L. 1956, § 5-11-15 .

5-11-16, 5-11-17. [Repealed.]

Repealed Sections.

These sections (G.L. 1896, ch. 162, §§ 13, 14; G.L. 1909, ch. 191, §§ 13, 14; G.L. 1923, ch. 219, §§ 13, 14; G.L. 1938, ch. 365, §§ 13, 14; P.L. 1987, ch. 86, § 2), concerning copies of process to treasurer and disposition of fines and forfeitures, were repealed by P.L. 1995, ch. 174, § 1 and ch. 185, § 1, effective July 3, 1995.

5-11-18. Local licensing — Fees — Persons exempt.

    1. The board or bureau of police commissioners in any city or town where a board or bureau of police commissioners is established, and if no board or bureau of police commissioners is established then the town or city council, is authorized to provide, by ordinance in the case of any city or town council:
      1. For the issuing and revocation for just and good cause of licenses to all hawkers and peddlers;
      2. In the same manner to fix a penalty, not exceeding a fine of two hundred dollars ($200) for any one offense or imprisonment not exceeding ten (10) days, for selling or offering for sale any goods, wares, or merchandise, including food or beverages, as hawkers and peddlers within that town or city without a license; and
      3. For charging and collecting fees for those licenses; provided, that the fee charged by any board or bureau of police commissioners or city or town council, for any one license for any one year, for selling or offering for sale, as a hawker and peddler, shall not exceed the sum of fifty dollars ($50.00).
    2. No license is required of any person selling religious books and publications on behalf of Bible, tract, or other religious or moral societies for the purpose of promoting religious or moral improvement, and which are sold for that purpose and not for pecuniary profit; nor of any person peddling or selling any articles of wearing apparel manufactured with his or her own hands.
  1. The following provisions as to the issuance and revocation of licenses apply to the city and town councils specified:
    1. Woonsocket.  The city council of the city of Woonsocket is authorized to provide, by ordinance, for the issuing and revocation at pleasure of licenses to hawkers and peddlers, pursuant to the provisions of this section, on a weekly basis and to establish a fee not to exceed five hundred dollars ($500) per year;
    2. Middletown, East Greenwich, and Glocester.  Town councils of the towns of Middletown, East Greenwich, and Glocester are authorized to provide, by ordinance, for the discretionary issuance and revocation of licenses to hawkers and peddlers, pursuant to the provisions of this section on a daily or weekly basis, to establish reasonable fees for the issuance and revocation, and to promulgate, by ordinance, reasonable rules and regulations as to the placement, duration, location, number, and operation of those licenses within the town;
    3. Cumberland and Bristol.  The town councils of the towns of Cumberland and Bristol are authorized to provide, by ordinance, for the discretionary issuance and revocation of licenses to hawkers and peddlers on all state highways within the town on July 4 in any year and on a daily or weekly basis, and to establish reasonable fees for the issuance and revocation, and to promulgate, by ordinance, reasonable rules and regulations as to placement, duration, location, number, and operation of those licenses within the town;
    4. Smithfield.  The town council of the town of Smithfield is authorized to provide, by ordinance, for the discretionary issuance and revocation of licenses on a daily, weekly, monthly, or annual basis, to establish reasonable fees for the issuance and revocation not to exceed five hundred dollars ($500) per year, and to promulgate, by ordinance, reasonable rules and regulations as to the placement, duration, location, number, and operation of these licenses within the town of Smithfield;
    5. Providence.  The city council of the city of Providence is authorized to provide, by ordinance, for the issuance and revocation of licenses to hawkers and peddlers and to provide for the promulgation of reasonable rules and regulations as to the placement, duration, location, number, and operation of those licenses within the city of Providence, and to establish reasonable fees for the issuance and revocation that may exceed the sum prescribed in this section;
    6. Pawtucket.  The city council of the city of Pawtucket is authorized to provide, by ordinance, for the discretionary issuance and revocation of licenses to hawkers and peddlers on a daily, weekly, monthly, or annual basis and to promulgate, by ordinance, reasonable rules and regulations as to the placement, duration, location, number, and operation of those licenses within the city of Pawtucket and to establish reasonable fees for the issuance and revocation that may exceed the sum prescribed in this section;
    7. Tiverton.  The town council of the town of Tiverton is authorized to provide, by ordinance, for the discretionary issuance and revocation of licenses to hawkers and peddlers on a daily, weekly, monthly, or annual basis, to establish reasonable fees for the issuance and revocation not to exceed five hundred dollars ($500) per year, and to promulgate, by ordinance, reasonable rules and regulations as to the placement, duration, location, number, and operation of these licenses within the town of Tiverton;
    8. Warwick.  The city council of the city of Warwick is authorized to provide, by ordinance, for the discretionary issuance and revocation of licenses to hawkers and peddlers on a daily, weekly, monthly, or annual basis and to promulgate, by ordinance, reasonable rules and regulations as to the placement, duration, location, number, and operation of those licenses within the city of Warwick and to establish reasonable fees for the issuance and revocation that may exceed the sum prescribed in this section;
    9. West Warwick.  The town council of the town of West Warwick is authorized to prescribe through ordinance reasonable rules and regulations as to the placement, duration, location, number, and operation of those licenses within the town of West Warwick and to establish a fee not to exceed five hundred dollars ($500) per issuance. The town council is also authorized to establish by ordinance a penalty for violation of the ordinance not to exceed one thousand dollars ($1,000) enforced through the West Warwick municipal court;
    10. Burrillville.  The town council of the town of Burrillville is authorized to provide, by ordinance, for the discretionary issuance and revocation of licenses to hawkers and peddlers on a daily, weekly, monthly, or annual basis, and to promulgate, by ordinance, reasonable rules and regulations as to the placement, duration, location, number, and operation of those licenses within the town of Burrillville, and to establish reasonable fees for the issuance and revocation that may exceed the sum prescribed in this section. The town council is also authorized to establish, by ordinance, a penalty for violation of the ordinance not to exceed one thousand dollars ($1,000) enforced through the Burrillville municipal court; and
    11. Richmond.  The town council of the town of Richmond is authorized to provide by ordinance for the licensing of any person over the age of eighteen (18) who sells, or attempts to sell, merchandise at the home or business of a customer having not been invited to the home or business by the occupant for purposes of the sale, in the same manner that hawkers and peddlers are licensed and the town is further authorized to provide by ordinance for the licensing of these sellers as well as hawkers and peddlers on a daily, weekly, monthly, or annual basis for a fee not to exceed five hundred dollars ($500) per year.
  2. No license shall be issued under this section without the hawker or peddler providing proof that he or she has been issued a permit to make sales at retail by the division of taxation. Each applicant shall provide two (2) forms of identification containing the applicant’s address prior to the issuance of that peddling license. If the applicant is a resident of a homeless shelter or other transitional housing program, a letter certifying this residency from the homeless shelter or transitional housing program is acceptable in lieu of the two (2) forms of identification containing the applicant’s address.

History of Section. P.L. 1901, ch. 846, § 1; P.L. 1901, ch. 923, § 1; P.L. 1902, ch. 1065, § 1; P.L. 1909, ch. 191, § 16; G.L. 1923, ch. 219, § 16; P.L. 1932, ch. 1937, § 1; G.L. 1938, ch. 365, § 16; G.L. 1956, § 5-11-18 ; P.L. 1983, ch. 152, § 1; P.L. 1984, ch. 378, § 1; P.L. 1985, ch. 87, § 1; P.L. 1987, ch. 86, § 2; P.L. 1987, ch. 292, § 1; P.L. 1988, ch. 50, § 1; P.L. 1988, ch. 217, § 1; P.L. 1989, ch. 452, § 1; P.L. 1990, ch. 448, § 1; P.L. 1992, ch. 63, § 1; P.L. 1992, ch. 105, § 1; P.L. 1993, ch. 353, § 1; P.L. 1993, ch. 428, § 1; P.L. 1994, ch. 295, § 1; P.L. 1995, ch. 174, § 1; P.L. 1995, ch. 185, § 1; P.L. 1995, ch. 246, § 1; P.L. 1995, ch. 293, § 1; P.L. 1996, ch. 328, § 1; P.L. 1999, ch. 354, § 4; P.L. 2002, ch. 87, § 1; P.L. 2005, ch. 18, § 1; P.L. 2009, ch. 278, § 1; P.L. 2009, ch. 279, § 1; P.L. 2011, ch. 197, § 1; P.L. 2011, ch. 276, § 1.

NOTES TO DECISIONS

In General.

The 1902 amendment to this section, authorizing police commissioners to license hawkers and peddlers and providing that no fee should be charged to those already licensed under the general laws, did not deprive police commissioners of town of Tiverton of authority under P.L. 1902, ch. 1034, to require defendant to obtain hawker and peddler license in addition to state license. State v. Frank, 38 R.I. 40 , 94 A. 665, 1915 R.I. LEXIS 33 (1915).

Invalid Ordinances.

Since the jingles that the plaintiff played by means of a loudspeaker in order to attract attention is valid speech, the ordinance that prohibited hawkers and peddlers from using loudspeakers and public address systems violated the plaintiff’s First Amendment rights; the ordinance unreasonably differentiated between merchants and nonmerchants. Anabell's Ice Cream Corp. v. Town of Glocester, 925 F. Supp. 920, 1996 U.S. Dist. LEXIS 10485 (D.R.I. 1996).

State Preemption.

The language in § 5-11-18 providing the towns of Middletown, East Greenwich and Glocester with additional powers to regulate the operation of licensed hawkers clearly provides the authority for adopting the town ordinance prohibiting loudspeakers or public address systems. This statutory authority overrides the general preemptive language of § 45-6-6 which might prohibit the ordinance. Anabell's Ice Cream Corp. v. Town of Glocester, 925 F. Supp. 920, 1996 U.S. Dist. LEXIS 10485 (D.R.I. 1996).

Chapter 11.1 State Mobile Food Establishment Registration Act

5-11.1-1. Short title.

This chapter shall be known and may be cited as the “State Mobile Food Establishment Registration Act.”

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

Collateral References.

Municipal Regulation of Food Trucks. 41 A.L.R.7th Art. 12 (2019).

5-11.1-2. Purpose.

The intent of this chapter is to standardize the registration process for mobile food establishments in the state by authorizing the department of business regulation to issue state mobile food establishment registrations. Furthermore, this chapter explicitly exempts the selling of food or beverages from the provisions of chapter 11 of this title which applies to hawkers and peddlers.

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

5-11.1-3. Definitions.

As used in this chapter, the following terms shall have the following meanings:

  1. “Department” means the department of business regulation.
  2. “Director” means the director of the department of business regulation.
  3. “Event permit” means a permit that a city or town issues to the organizer of a public mobile food establishment event located on public property.
  4. “Fire safety code” shall have the meaning set forth in chapter 28.1 of title 23 and shall include any regulations promulgated thereunder.
  5. “Mobile food establishment” means a food service operation that is operated from a movable motor-driven or propelled vehicle, portable structure, or watercraft that can change location. Mobile food establishments specifically includes, but is not limited to, food trucks, food carts, ice-cream trucks/carts, and lemonade trucks/carts.
  6. “Mobile food establishment event” means an event where an individual has ordered or commissioned the operation of one or more mobile food establishments at a private or public gathering.
  7. “Mobile food establishment operator” or “operator” means a person or corporate entity who or that owns, manages, or controls, or who or that has the duty to manage or control, the operation of a mobile food establishment.
  8. “Mobile food establishment vendor” or “vendor” means a person who prepares, sells, cooks, or serves food or beverages from a mobile food establishment.
  9. “Municipal mobile food establishment permit” means a permit issued by a city or town to a mobile food establishment operator that possesses a current state mobile food establishment registration.
  10. “Registrant” means the holder of a “state mobile food establishment registration.”
  11. “RIDOH” means the Rhode Island department of health.
  12. “State mobile food establishment registration” or “registration” means a registration issued by the department which authorizes a mobile food establishment to operate in the state.
  13. “Temporary mass gathering”:
    1. Means an actual or reasonably anticipated assembly of five hundred (500) or more people that continues, or reasonably can be expected to continue, for two (2) or more hours per day; or an event that requires a more extensive review to protect public health and safety because the event’s nature or conditions have the potential of generating environmental or health risks.
    2. Includes, but is not limited to, “special events” as defined in the food code regulations promulgated by RIDOH, and festivals and concerts.
    3. Shall not include an assembly of people at a location with permanent facilities designed for that specific assembly.

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

5-11.1-4. Practices for which registration is required.

Beginning on July 1, 2019, it shall be unlawful for any person or entity to operate a mobile food establishment in this state without first receiving a registration from the department and any applicable municipal permit(s) in accordance with this chapter.

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

5-11.1-5. Registration applications and requirements.

  1. An application for a state mobile food establishment registration shall be made to the department on forms adopted by the department and accompanied by the required fee of fifty dollars ($50.00).
  2. The application shall, at a minimum, include the following information:
    1. The name and address of the applicant and, if the applicant is an entity, the name and address of at least one natural person who is in responsible charge of the operations on behalf of the applicant;
    2. Evidence of a current:
      1. Mobile food service license from RIDOH;
      2. Fire safety permit, if applicable;
      3. Motor vehicle registration, if applicable;
      4. Motor vehicle insurance, if applicable;
      5. Evidence of financial responsibility that is acceptable to the department; and
      6. Permit to make sales at retail from the Rhode Island division of taxation; and
    3. Any other such information as the department shall require.
  3. If an applicant or registrant operates more than one mobile food establishment, the applicant or registrant shall submit a separate application for each mobile food establishment and pay a separate application fee per year for each mobile food establishment registered by the department.
  4. The fees for initial registration, renewal, and late renewals shall be determined by the department and established by regulation.
  5. The department shall receive applications for initial registration and renewal and establish administrative procedures for processing applications and issuing and renewing registrations.
  6. All application requirements must be maintained and kept current for the duration of the registration.
  7. The department may work with the state fire marshal to establish fees for fire safety permit inspections by regulation.

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

5-11.1-6. Issuance and renewal of registration.

  1. A registration issued by the department pursuant to this chapter shall be valid for one year from the date on which it was issued or for another period of time as determined by the department.
  2. Every mobile food establishment operator who or that desires to renew a registration for the next year shall apply for renewal upon a form furnished by the department, accompanied by a fee to be set by the department in regulations, and containing information that is required by the department.
  3. Renewal of a registration may be subject to the same provisions as the initial application.

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

5-11.1-7. Authority to operate a mobile food establishment in any city or town.

  1. To operate in any city or town, a mobile food establishment operator shall provide proof of having a state mobile food establishment registration to the city or town that the mobile food establishment wishes to operate in.
  2. If a mobile food establishment presents this registration, then a city or town shall not:
    1. Impose additional qualification requirements on the mobile food establishment operator before issuing a municipal mobile food establishment permit to operate within the city or town;
    2. Charge a fee for a municipal mobile food establishment permit, event permit, or temporary mass gathering permit greater than the maximum fee set by the department and established by regulations;
    3. Issue a permit that expires on a date earlier or later than the day on which the state mobile food establishment registration expires; or
    4. Require additional municipal mobile food establishment permits or charge additional fees beyond the initial municipal mobile food establishment permit and fee for the operation of that same mobile food establishment in more than one location or on more than one day within the same city and town in the same calendar year.
  3. Nothing in this section prevents a city or town from:
    1. Requiring a mobile food establishment operator or event organizer to obtain an event permit, provided that the fee is not greater than the maximum set by the department in regulations;
    2. Denying, suspending, or revoking a permit that the city or town has issued if the operation of the registrant within the city or town violates the city’s or town’s land use regulations, zoning, or other ordinances in relation to the operation of a mobile food establishment; or
    3. Requiring a separate temporary mass gathering permit, provided that the fee is not greater than the maximum set by the department in regulations.
  4. Cities and towns will retain the authority to restrict the operation of mobile food establishments in their city or town by ordinance with respect to:
    1. Number of permits granted;
    2. Location of operation;
    3. Hours of operation; and
    4. Noise.

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

5-11.1-8. Municipal compliance.

All cities and towns shall comply with the provisions of this chapter by July 1, 2019.

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

5-11.1-9. Display of registration and municipal permits.

  1. State mobile food establishment registrations must be affixed to the mobile food establishment in a conspicuous place.
  2. When the mobile food establishment is doing business in a city or town that issues permits, the permit must also be affixed to the mobile food establishment in a conspicuous place.

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

5-11.1-10. Mobile food establishment safety standards.

  1. Mobile food establishments shall comply with RIDOH’s statutes, rules, regulations, and policies relating to food safety.
  2. Mobile food establishments shall comply with the fire safety code, if applicable.

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

Collateral References.

Municipal Regulation of Food Trucks. 41 A.L.R.7th Art. 12 (2019).

5-11.1-11. Grounds for denial, suspension, or revocation of a state mobile food establishment registration.

  1. Upon receipt of a written complaint, the request of RIDOH, or the state fire marshal, or upon its own initiative, the department may place on probation, suspend, revoke, or refuse to issue or renew a state mobile food establishment registration or may levy an administrative penalty or any combination of actions, for any one or more of the following causes:
    1. Providing incorrect, misleading, incomplete, or materially untrue information in the registration application;
    2. Violating any statutes, rules, regulations, ordinances, or policies applicable to the safe operation of a mobile food establishment, specifically including the fire safety code and those set forth by the department, RIDOH, and the state fire marshal;
    3. Obtaining or attempting to obtain a registration through misrepresentation or fraud;
    4. Having admitted to or been found to have committed any food safety or fire safety violation;
    5. Using fraudulent, coercive, or dishonest practices or demonstrating incompetence, untrustworthiness, or financial irresponsibility in this state or in another place;
    6. Having a registration, or its equivalent, denied, suspended, or revoked in any other state, province, district or territory or administrative action under this section;
    7. Operating a mobile food establishment without a current and valid registration;
    8. Having its mobile food service license or fire safety permit denied, suspended, or revoked;
    9. Having a substantive complaint of foodborne illness or food-related illness; or
    10. A mobile food establishment operator, vendor, or principal thereof having been convicted of or having pled nolo contendere to a felony that is relevant to that person’s suitability for a mobile food establishment registration.
  2. In the event that the action by the department is to nonrenew or to deny an application for a registration, the department shall notify the applicant or registrant and advise, in writing, the reason for the denial or nonrenewal of the registration. The applicant or registrant may make written demand upon the department within thirty (30) days for a hearing. The hearing shall be conducted pursuant to the administrative procedures act, chapter 35 of title 42.
  3. In addition to or in lieu of any applicable denial, suspension, or revocation of a registration, a person may, after hearing, be subject to an administrative penalty not to exceed the maximum set forth by regulation.
  4. The department shall retain the authority to enforce the provisions of and impose any penalty or remedy authorized by this chapter and this title against any person or entity who is in violation of this chapter or this title even if the person or entity’s registration has been surrendered or has lapsed by operation of the law.

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

5-11.1-12. Order to cease and desist.

  1. If the department has reason to believe that any person, firm, corporation, or association is conducting any activities requiring registration in this chapter without obtaining a registration, or who after the denial, suspension, or revocation of a registration conducts any activities requiring registration under this chapter, the department may issue its order to that person, firm, corporation, or association commanding them to appear before the department at a hearing to be held no sooner than ten (10) days nor later than twenty (20) days after issuance of that order to show cause why the department should not issue an order to that person or entity to cease and desist from the violation of the provisions of this chapter.
  2. All hearings shall be governed by the administrative procedures act, chapter 35 of title 42, and by the department’s rules of procedure for administrative hearings.

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

5-11.1-13. Responsibility of registrant for acts of agents/employees.

If a registrant is a firm or corporation, it is sufficient cause for the suspension or revocation of a registration that any officer, director, manager, or trustee of the firm or entity or any member or partner, in the case of a partnership, has been found by the department to have engaged in any act or omission that would be cause for denying, suspending, or revoking a registration to that party as an individual. Each registrant shall be responsible for the acts of any person working on their mobile food establishment or any person acting as the agent for that registrant, and for the acts of any chef or other employee acting as the agent for that registrant.

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

5-11.1-14. Rulemaking authority.

The department is authorized to promulgate rules and regulations for the implementation of this chapter and the registration of mobile food establishments in the state.

History of Section. P.L. 2018, ch. 80, § 2; P.L. 2018, ch. 94, § 2.

Chapter 12 Hide and Leather Inspection

5-12-1. Town and city inspectors.

There may be annually elected by the town councils of the several towns and by the city councils of Providence and Newport an officer to be denominated “inspector of hides and leather,” who shall be sworn to the faithful discharge of his or her duties.

History of Section. G.L. 1896, ch. 132, § 1; G.L. 1909, ch. 158, § 1; G.L. 1923, ch. 188, § 1; G.L. 1938, ch. 389, § 1; G.L. 1956, § 5-12-1 .

Cross References.

Election and qualification, § 45-4-1 et seq.

Comparative Legislation.

Leather measurement:

Mass. Ann. Laws ch. 95, § 1 et seq.

5-12-2. Inspection and stamping of hides and leather.

City and town inspectors of hides and leather shall examine and inspect all hides and leather that they may be called upon to inspect, within their towns or cities, and stamp upon the inspected hides or leather their quality, as rated in the hides and leather trade, together with the name of the inspector and date of inspection.

History of Section. G.L. 1896, ch. 132, § 2; G.L. 1909, ch. 158, § 2; G.L. 1923, ch. 188, § 2; G.L. 1938, ch. 389, § 2; G.L. 1956, § 5-12-2 .

5-12-3. Inspection fees.

The fee of the inspector shall be at the rate of one dollar ($1.00) per hour for each hour actually employed, paid by the person employing him or her; provided, that not more than five (5) hours shall be paid for by one employer for the same day.

History of Section. G.L. 1896, ch. 132, § 3; G.L. 1909, ch. 158, § 3; G.L. 1923, ch. 188, § 3; G.L. 1938, ch. 389, § 3; G.L. 1956, § 5-12-3 .

5-12-4. Misconduct by inspectors.

Every inspector appointed under the provisions of this chapter who willfully stamps any hides or leather as of a grade above or below that at which it is properly ratable, shall forfeit and pay a penalty of one hundred dollars ($100) and is liable to an action at law for damages to any person injured from the action.

History of Section. G.L. 1896, ch. 132, § 4; G.L. 1909, ch. 158, § 4; G.L. 1923, ch. 188, § 4; G.L. 1938, ch. 389, § 4; G.L. 1956, § 5-12-4 .

Chapter 13 Horse Riding Schools

5-13-1. Definitions.

The following words and phrases when used in this chapter are construed as follows:

  1. “Person” means any individual, firm, partnership, association, or corporation.
  2. “Riding school” means any establishment in connection with which one or more horses are let for hire to be ridden or driven, either with or without the furnishing of riding or driving instruction.

History of Section. P.L. 1943, ch. 1340, § 1; G.L. 1956, § 5-13-1 .

Comparative Legislation.

Horse riding schools:

Mass. Ann. Laws ch. 128, §§ 2A, 2B.

Collateral References.

Personal injury due to dangerous horse, defective carriage or harness. 12 A.L.R. 778; 793; 61 A.L.R. 1336; 131 A.L.R. 845.

5-13-2. License required.

No person shall engage in the business of operating or operate any riding school unless that person has received a license and a certificate for operating a riding school issued by the state board of inspection of horse riding schools created by this chapter.

History of Section. P.L. 1943, ch. 1340, § 2; G.L. 1956, § 5-13-2 .

5-13-2.1. First aid certification required.

  1. Any person who holds him or herself out to be an equestrian professional, and who receives compensation for equestrian activities, shall post a first aid certificate consistent with the provisions of § 16-11.1-1 in a conspicuous location in the riding school.
  2. The equestrian professional shall have a fully operational first aid kit on the premises or trailer when participating in equestrian activities.

History of Section. P.L. 2006, ch. 551, § 1.

5-13-3. Board of inspection.

  1. There is created in the department of environmental management a state board of inspection of horse riding schools to consist of three (3) qualified electors of the state:
    1. The general agent of the Rhode Island Society for the Prevention of Cruelty to Animals;
    2. A duly qualified and licensed veterinarian to be appointed by the director of the department of environmental management; and
    3. The owner or operator of a riding school in this state to be appointed by the director.
  2. The general agent of the Rhode Island Society for the Prevention of Cruelty to Animals shall serve as a member of the board during the time he or she holds his or her position as general agent. The other members of the board shall serve at the pleasure of the director of the department of environmental management. All the members of the board shall serve without compensation but are allowed their actual expenses incurred in the performance of their duties. The director of the department of environmental management shall furnish to the board necessary clerical assistance and supplies.

History of Section. P.L. 1943, ch. 1340, § 3; G.L. 1956, § 5-13-3 ; P.L. 1964, ch. 20, § 1.

5-13-4. Rules and regulations.

The state board of inspection of horse riding schools shall make all necessary rules and regulations for the proper performance of their duties and rules and regulations for the filing of applications for licenses and the qualifications of applicants.

History of Section. P.L. 1943, ch. 1340, § 4; G.L. 1956, § 5-13-4 .

5-13-5. Application for license — Examination — Fee.

All applications for licenses shall be filed with the state board of inspection of horse riding schools. The board shall conduct an examination, either oral or written, or partly oral and partly written, in order to determine the qualifications of the person to operate a riding school. Examinations shall place particular emphasis on the proper handling and care of horses and shall be principally a practical examination of the applicant’s knowledge and skill in the proper handling and care of horses. The fee for all licenses shall be thirty-five dollars ($35.00) per year payable to the department of environmental management.

History of Section. P.L. 1943, ch. 1340, § 4; G.L. 1956, § 5-13-5 ; P.L. 1960, ch. 74, § 8.

5-13-6. Access of board members to schools.

Any member of the state board of inspection of horse riding schools may enter upon and inspect any premises where a licensed riding school is being conducted or any premises upon which he or she has reason to believe a riding school is being conducted without a license.

History of Section. P.L. 1943, ch. 1340, § 5; G.L. 1956, § 5-13-6 .

5-13-7. Terms of license.

A license issued under this chapter shall be the property of the state; shall be loaned to the licensee; and it must be kept posted, in a conspicuous place, upon the premises where the riding school is conducted. The license shall expire by limitation on the thirty-first day of May following its issuance. A license may be renewed from year to year upon payment of the prescribed fee. No license issued under this chapter is assignable or transferable.

History of Section. P.L. 1943, ch. 1340, § 6; G.L. 1956, § 5-13-7 .

Cross References.

Veteran’s certificate, renewal on discharge, § 30-20-1 .

5-13-8. Suspension or revocation of license.

Any license issued under this chapter may be suspended or revoked by the state board of inspection of horse riding schools, after a hearing, for any one or more of the following causes:

  1. Failure on the part of the holder of the license to provide suitable food, water, and shelter for the horses under his or her control;
  2. Maintenance by the holder of the license of an unsanitary or unfit stable;
  3. Failure on the part of the holder of the license to provide suitable saddles, bridles, harnesses, and other tack or equipment;
  4. The letting or use for riding or driving purposes of unfit horses;
  5. The permitting of horses to work more than eight (8) hours in any twenty-four (24) consecutive hours;
  6. The refusal by any holder of a license to allow a member of the board to enter and inspect the premises upon which a riding school is being operated or the obstruction by any holder of a license of any member of the state board of inspection of horse riding schools in the performance of his or her duties under this chapter;
  7. The commission by any license holder of any act prohibited by chapter 1 of title 4 or the suffering by the holder of a license of the commission of any act by any other person with relation to any horse under the control of that holder; and
  8. Any other cause that, in the opinion of the board, taking into consideration the welfare of the horses under his or her control, shows that the holder of a license is an unfit person to operate a riding school.

History of Section. P.L. 1943, ch. 1340, § 7; G.L. 1956, § 5-13-8 .

5-13-9. Penalty for violations.

Any person violating any provision of this chapter shall upon conviction be imprisoned not exceeding eleven (11) months, or be fined not exceeding two hundred fifty dollars ($250), or be both imprisoned and fined as provided in this chapter.

History of Section. P.L. 1943, ch. 1340, § 8; G.L. 1956, § 5-13-9 .

Chapter 14 Hotels

5-14-1. Safekeeping of property of guests.

If any hotelkeeper or innkeeper provides a suitable safe in his or her hotel or inn or other convenient place for the safekeeping of any money, jewels, jewelry, watches, ornaments, railroad mileage books and tickets, bank notes, bonds, negotiable securities, and precious stones, belonging to the guests of that hotel or inn, and notifies guests of the hotel or inn by posting in a public and conspicuous place and manner the fact that a safe is provided, in which that property may be deposited, and if those guests neglect or fail to deliver the property to the person in charge of the office of the hotel or inn for deposit in that safe, the hotelkeeper or innkeeper is not liable for any loss of that property sustained by the guests by theft or otherwise. No hotelkeeper or innkeeper is obliged to receive property on deposit for safekeeping exceeding five hundred dollars ($500) in value. If guests deliver property exceeding five hundred dollars ($500) in value to the person in charge of the office for deposit in the safe, the hotelkeeper or innkeeper is not liable for any loss of the property sustained by those guests by theft or otherwise in any sum exceeding five hundred dollars ($500), unless by special agreement, in writing, with the hotelkeeper or innkeeper.

History of Section. C.P.A. 1905, § 239; G.L. 1909, ch. 283, § 19; G.L. 1923, ch. 333, § 19; P.L. 1927, ch. 1065, § 1; G.L. 1938, ch. 480, § 1; P.L. 1939, ch. 709, § 1; G.L. 1956, § 5-14-1 .

Cross References.

Hotels and public places, § 11-24-1 et seq.

Gambling place, revocation of license, § 11-19-19 .

Innkeeper’s lien, § 34-33-1 et seq.

Obtaining food or accommodations with intent to defraud, penalty, § 11-18-26 .

Comparative Legislation.

Liability of innkeeper:

Conn. Gen. Stat. § 44-1 et seq.

Mass. Ann. Laws ch. 140, § 10.

NOTES TO DECISIONS

Negligence of Hotelkeeper.

The limit of $500 does not apply when the plaintiff’s case is based upon the negligence of the hotelkeeper, so that a verdict in excess of $500 was proper where it was shown that the hotelkeeper had issued a second key to a deposit box from which valuables were missing. Hoffman v. Louis D. Miller & Co., 83 R.I. 284 , 115 A.2d 689, 1955 R.I. LEXIS 58 (1955).

Where plaintiffs sued in an action on the case and charged defendant with negligence, this section had no application and plaintiff was not limited in the amount of damages it could recover. Schiffman v. Narragansett Hotel, 86 R.I. 258 , 134 A.2d 153, 1957 R.I. LEXIS 94 (1957).

Collateral References.

Construction and application of terms “jewelry” and “personal ornaments” as used in statute limiting innkeeper’s liability for loss or damage to guest’s property. 88 A.L.R.3d 979.

Construction, scope, and application of words descriptive of property in statute relating to liability of innkeeper to guest for loss or damage to property. 115 A.L.R. 1088.

Contributory negligence of guest as affecting liability of hotel for loss of valuables or effects. 9 A.L.R.2d 818.

Departing guest who intends to return, liability of innkeeper for property left. 22 A.L.R. 1194.

Effect of notice limiting liability for valuables or effects of guests in hotel. 9 A.L.R.2d 818.

Gratuitous bailee of baggage, liability of innkeeper as. 4 A.L.R. 1222; 96 A.L.R. 909.

Improper motive or purpose in going to hotel as affecting one’s status as guest, for purpose of determining degree of care owed by proprietor. 16 A.L.R. 1388.

Information which must be given by a guest upon delivering articles into custody of innkeeper. 53 A.L.R. 1048.

Injury to guest using exterior passageways or walks. 69 A.L.R.2d 1107.

Injury to guest using steps or stairs. 58 A.L.R.2d 1178.

Interference with guest. 17 A.L.R. 139.

Liability of hotel company for loss or damage to guest’s baggage while being transported to or from hotel. 76 A.L.R. 1106.

Liability of hotel or motel for guest’s loss of money from room by theft or robbery committed by person other than defendant’s servant. 28 A.L.R.4th 120.

Liability of hotel or motel operator for injury or death of guest or privy resulting from condition in plumbing or bathroom of room or suite. 93 A.L.R.3d 253.

Liability of hotel or motel operator for injury or death resulting to guest from defects in furniture in room or suite. 91 A.L.R.3d 483.

Liability of hotel or motel operator for injury to guest resulting from assault by third party. 17 A.L.R.6th 453.

Liability of innkeeper for damage to property or injury to guest due to fire. 63 A.L.R.2d 495; 60 A.L.R.3d 1217.

Liability of innkeeper for indignity to one occupying room without being registered. 29 A.L.R. 481.

Liability of innkeeper for injury to guest caused by pushing, crowding, etc. of other guests. 20 A.L.R.2d 8.

Liability of innkeeper for injury to guest using hall or similar passageway. 27 A.L.R.2d 822.

Object thrown or falling from room occupied by guest, innkeeper’s liability for injury to other guest by. 74 A.L.R.2d 1241.

Payment for accommodation by week, month, or the like as affecting question whether one is a guest or a boarder or tenant at an inn. 12 A.L.R. 261; 145 A.L.R. 363.

Personal papers, photographs, or paintings, elements and measure of damages recoverable from bailee for loss, destruction, or conversion of. 9 A.L.R.4th 1245.

Safety receptacle for valuables of guests, necessity of complying with statutory provision as to place of posting, and contents of, notice by innkeeper as to. 119 A.L.R. 796.

Statutory limitations upon innkeeper’s liability as applicable where guest’s property is lost or damaged through innkeeper’s negligence. 37 A.L.R.3d 1276.

Validity, construction, and application of lost or abandoned goods statutes. 23 A.L.R.4th 1025.

Validity of contractual provision excepting innkeeper from liability for own negligence. 175 A.L.R. 149; 27 A.L.R.3d 663.

What constitutes a hotel or inn. 19 A.L.R. 517; 53 A.L.R. 988.

Wrong doorway, injury to guest in consequence of passing through. 20 A.L.R. 1154; 27 A.L.R. 585; 42 A.L.R. 1098.

5-14-2. Losses of property without fault of hotelkeeper.

No hotelkeeper or innkeeper is liable in any sum to any guest for the loss of any wearing apparel, goods, merchandise, or other personal property not mentioned in § 5-14-1 , where it appears that the loss occurred without the fault or negligence of the hotelkeeper or innkeeper; nor is any hotelkeeper or innkeeper liable in any sum for the loss of any article or articles belonging to any guest and not within a room assigned to him or her, unless the article or articles are specially entrusted to the care and custody of the hotelkeeper or innkeeper or his or her agents or servants by special agreement, in writing, with the hotelkeeper or innkeeper.

History of Section. G.L. 1923, ch. 333, § 28; P.L. 1927, ch. 1065, § 2; G.L. 1938, ch. 480, § 2; G.L. 1956, § 5-14-2 ; P.L. 1995, ch. 238, § 1.

5-14-3. Definitions.

As used in this chapter, “hotel” means a hotel, motel, resort, boarding house, or bed and breakfast that is kept, used, or advertised as, or held out to the public as, a place where sleeping or housekeeping accommodations are supplied for pay to guests for leisure, business, or group occupancy.

History of Section. P.L. 1995, ch. 238, § 2.

5-14-4. Innkeeper’s right to eject.

  1. An innkeeper may remove or cause to be removed from a hotel a guest or other person who:
    1. Refuses or is unable to pay for accommodations or services;
    2. While on the premises of the hotel, acts in an obviously intoxicated manner, destroys or threatens to destroy hotel property, or causes or threatens to cause a public disturbance;
    3. The innkeeper has direct knowledge a person is using the premises for the unlawful possession or use of controlled substances by the person in violation of chapter 28 of title 21, or using the premises for the consumption of alcohol by a person under the age of twenty-one (21) years of age in violation of chapter 8 of title 3;
    4. The innkeeper has direct knowledge a person has brought property into the hotel that may be dangerous to other persons, such as firearms or explosives;
    5. A person violates any federal, state, or local laws, ordinances, or rules relating to the hotel; or
    6. Violates a rule of the hotel that is clearly and conspicuously posted at or near the front desk and on the inside of the entrance door of every guest room.
  2. If the guest has paid in advance, the innkeeper shall tender to the guest any unused portion of the advance payment at the time of removal.

History of Section. P.L. 1995, ch. 238, § 2.

5-14-5. Refusal of admission.

An innkeeper may refuse to admit or refuse service or accommodations to a person who:

  1. While on the premises of the hotel, acts in an obviously intoxicated manner, destroys or threatens to destroy hotel property, or causes or threatens to cause a public disturbance.
  2. The innkeeper has direct knowledge a person is seeking accommodations for the unlawful possession or use of controlled substances in violation of chapter 28 of title 21 or the use of the premises for the consumption of intoxicating liquor by a person.
  3. A person under the age of eighteen (18) years if they are not in proper condition or are unable to pay for their charges.

History of Section. P.L. 1995, ch. 238, § 2.

Chapter 14.1 The Human Trafficking Prevention Notice Act

History of Section. P.L. 2021, ch. 337, § 1, effective January 1, 2022.

5-14.1-1. Definitions.

As used in this chapter:

  1. “Hotel” shall mean any establishment defined in § 5-14-3 .
  2. “Human trafficking” means the use of force, fraud, or coercion to obtain some type of labor or commercial sex act as defined in 22 U.S.C. § 7102 and the commission of an offense created by §§ 11-67.1-3 through 11-67.1-7 .

History of Section. P.L. 2021, ch. 337, § 1, effective January 1, 2022; P.L. 2021, ch. 308, § 1, effective January 1, 2022.

Compiler's Notes.

P.L. 2021, ch. 308, § 1, and P.L. 2021, ch. 337, § 1 enacted identical versions of this chapter.

Delayed Effective Dates.

P.L. 2021, ch. 308, § 2, provides that this chapter takes effect on January 1, 2022.

P.L. 2021, ch. 337, § 2, provides that this chapter takes effect on January 1, 2022.

5-14.1-2. Posting requirements.

  1. Every operator of a hotel shall post in a location conspicuous to employees human trafficking awareness signage, printed in an easily legible font in English and any other language spoken by at least ten percent (10%) of the employees.
  2. The notice shall provide information regarding the National Human Trafficking Resource Center hotline and substantially state as follows: “If you or someone you know is being forced to engage in any work or commercial sexual activity and cannot leave, call the toll-free National Human Trafficking Resource Center Hotline at 1-888-373-7888 to access help and services. The toll-free hotline is:
    1. Available twenty-four (24) hours a day, seven (7) days a week;
    2. Operated by a nonprofit, nongovernmental organization;
    3. Anonymous and confidential;
    4. Accessible in one hundred seventy (170) languages; and
    5. Able to provide help, referral to services, training, and general information.”

History of Section. P.L. 2021, ch. 337, § 1, effective January 1, 2022; P.L. 2021, ch. 308, § 1, effective January 1, 2022.

Chapter 15 Itinerant Vendors [Repealed.]

5-15-1. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 14; G.L. 1909, ch. 192, § 14; G.L. 1923, ch. 220, § 14; G.L. 1938, ch. 366, § 14; G.L. 1956, § 5-15-1 ; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-1 concerned persons subject to chapter.

5-15-1.1. [Repealed.]

History of Section. P.L. 1987, ch. 490, § 1; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-1.1 concerned conducting of business.

5-15-2. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 3; G.L. 1909, ch. 192, § 3; G.L. 1923, ch. 220, § 3; G.L. 1938, ch. 366, § 3; G.L. 1956, § 5-15-2 ; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-2 concerned duty to take out license.

5-15-3. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 4; P.L. 1896, ch. 326, § 2; G.L. 1909, ch. 192, § 4; G.L. 1923, ch. 220, § 4; G.L. 1938, ch. 366, § 4; G.L. 1956, § 5-15-3 ; P.L. 1960, ch. 76, § 7; P.L. 1987, ch. 490, § 2; P.L. 1993, ch. 353, § 2; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-3 concerned deposit with treasurer; issuance of license; and acts permitted.

5-15-4. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 5; G.L. 1909, ch. 192, § 5; G.L. 1923, ch. 220, § 5; G.L. 1938, ch. 366, § 5; G.L. 1956, § 5-15-4 ; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-4 concerned contents of application and records of licenses.

5-15-5. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 6; P.L. 1896, ch. 326, § 3; G.L. 1909, ch. 192, § 6; G.L. 1923, ch. 220, § 6; G.L. 1938, ch. 366, § 6; G.L. 1956, § 5-15-5 ; P.L. 1988, ch. 307, § 1; P.L. 1993, ch. 342, § 1; P.L. 1993, ch. 353, § 2; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-5 concerned local licenses; recording and endorsement of state license.

5-15-6. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 8; P.L. 1896, ch. 326, § 4; G.L. 1909, ch. 192, § 8; G.L. 1923, ch. 220, § 4; G.L. 1938, ch. 366, § 8; G.L. 1956, § 5-15-6 ; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-6 concerned false statements and failure to comply with requirements.

5-15-7. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 11; G.L. 1909, ch. 192, § 11; G.L. 1923, ch. 220, § 11; G.L. 1938, ch. 366, § 11; G.L. 1956, § 5-15-7 ; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-7 concerned duration of state licenses.

5-15-8. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 12; G.L. 1909, ch. 192, § 12; G.L. 1923, ch. 220, § 12; G.L. 1938, ch. 366, § 12; G.L. 1956, § 5-15-8 ; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-8 concerned cancellation of license and return of deposit.

5-15-9. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 13; G.L. 1909, ch. 192, § 13; G.L. 1923, ch. 220, § 13; G.L. 1938, ch. 366, § 13; G.L. 1956, § 5-15-9 ; P.L. 1999, ch. 354, § 5; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-9 concerned enforcement of claims against deposit.

5-15-10. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 1; P.L. 1896, ch. 326, § 1; G.L. 1909, ch. 192, § 1; G.L. 1923, ch. 220, § 1; G.L. 1938, ch. 366, § 1; G.L. 1956, § 5-15-10 ; P.L. 1988, ch. 307, § 1; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-10 concerned penalty for vending without license.

5-15-11. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 2; G.L. 1909, ch. 192, § 2; G.L. 1923, ch. 220, § 2; G.L. 1938, ch. 366, § 2; G.L. 1956, § 5-15-11 ; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-11 concerned advertising unlicensed sale.

5-15-12. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 7; G.L. 1909, ch. 192, § 7; G.L. 1923, ch. 220, § 7; G.L. 1938, ch. 366, § 7; G.L. 1956, § 5-15-12 ; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-12 concerned disclosures as to special sales.

5-15-13. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 9; G.L. 1909, ch. 192, § 9; G.L. 1923, ch. 220, § 9; G.L. 1938, ch. 366, § 9; G.L. 1956, § 5-15-13 ; P.L. 1993, ch. 353, § 2; P.L. 2012, ch. 324, § 13; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-13 concerned enforcement; failure to produce license as evidence; and seizure.

5-15-14. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 10; G.L. 1909, ch. 192, § 10; G.L. 1923, ch. 220, § 10; G.L. 1938, ch. 366, § 10; G.L. 1956, § 5-15-14 ; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-14 concerned jurisdiction of prosecutions.

5-15-15. [Repealed.]

History of Section. G.L. 1896, ch. 163, § 15; G.L. 1909, ch. 192, § 15; G.L. 1923, ch. 220, § 15; P.L. 1938, ch. 2593, § 1; G.L. 1938, ch. 366, § 15; G.L. 1956, § 5-15-15 ; P.L. 1987, ch. 490, § 2; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-15 concerned exempt sales.

5-15-16. [Repealed.]

History of Section. G.L. 1909, ch. 192, § 16; P.L. 1921, ch. 2098, § 1; G.L. 1923, ch. 220, § 16; P.L. 1923, ch. 471, § 1; P.L. 1931, ch. 1801, § 1; G.L. 1938, ch. 366, § 16; G.L. 1956, § 5-15-16 ; P.L. 1990, ch. 354, § 1; P.L. 1993, ch. 353, § 2; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-16 concerned towns to which chapter inapplicable.

5-15-17. [Repealed.]

History of Section. P.L. 1990, ch. 517, § 1; Repealed by P.L. 2016, ch. 40, § 1, effective May 31, 2016; P.L. 2016, ch. 44, § 1, effective May 31, 2016.

Compiler’s Notes.

Former § 5-15-17 concerned prohibited sales.

Chapter 16 Laundries

5-16-1. Definitions.

In this chapter, unless the context otherwise requires:

  1. “Licensing authorities” means the bureau or board of police commissioners of any city or town where that bureau or board of police commissioners is established; but where there is no bureau or board, it means the town council of a town and the city council of a city.
  2. “Person” means and includes a person, partnership, or corporation.
  3. “Public laundry” means and includes any plant or equipment conducted or operated as a laundry for profit, and for which business is solicited from the general public, but does not mean or include a laundry operated exclusively for and in connection with a hospital, school, or other institution, hotel, boardinghouse, or private dwelling, nor a laundry operated by one institution that also serves another institution.

History of Section. P.L. 1928, ch. 1200, § 1; G.L. 1938, ch. 369, § 1; G.L. 1956, § 5-16-1 .

NOTES TO DECISIONS

Construction.

The court will not employ such strict construction of this chapter as to defeat the intent of the legislature, even though the statute does provide for a penalty. State v. Wah Lee, 49 R.I. 491 , 144 A. 159, 1929 R.I. LEXIS 94 (1929).

Public Laundry.

A business was a public laundry within the meaning of this section where it solicited laundry business, received clothes, sent them to a wet laundry and then starched, ironed and packaged them for customers on the premises. State v. Wah Lee, 49 R.I. 491 , 144 A. 159, 1929 R.I. LEXIS 94 (1929).

The business of coin-operated self-service washing machines for the use of the public in washing soiled clothes is a public laundry regardless of the means and methods used in performing such service. E-Con-O-Wash Corp. v. Sousa, 91 R.I. 450 , 164 A.2d 851, 1960 R.I. LEXIS 116 (1960).

Collateral References.

Contracting for exemption from liability for negligence. 175 A.L.R. 117.

Injunction as remedy against prosecution for conducting business without a license. 167 A.L.R. 915.

Laundries, regulations as to. 6 A.L.R. 1597.

Laundrymen as independent contractors under statute relating to embezzlement. 43 A.L.R. 357.

Privilege tax as to business involving continuous passage and repassage over state lines of laundry. 153 A.L.R. 830.

5-16-2. Permit required.

No person may conduct or operate a public laundry in any city or town until the licensing authorities of that city or town shall have caused an inspection to be made of the laundry and shall have issued a permit for the operation of the public laundry. The permit shall be issued upon any terms and subject to any rules and regulations not inconsistent with law, that the licensing authorities prescribe for the purpose of protecting the public health and the suppression of unsanitary conditions. Every permit issued under the authority of this chapter shall continue in force until the first day of July in the year following its issue unless sooner revoked or suspended. The licensing authorities of any city or town may fix a fee to be paid for each permit that shall not exceed ten dollars ($10.00) for the term of one year or a pro rata sum for the unexpired portion of any year. Those fees shall be paid into the city or the town treasury. Any permit issued may be revoked or suspended by the licensing authorities for cause shown after a hearing of which the holder of the permit receives seven (7) days’ notice in writing.

History of Section. P.L. 1928, ch. 1200, § 2; G.L. 1938, ch. 369, § 2; G.L. 1956, § 5-16-2 .

Collateral References.

Laundry or dry cleaning establishment as nuisance. 41 A.L.R.3d 1236.

License, regulation, and taxation of self-service laundries. 87 A.L.R.2d 1007.

5-16-3. Application for permit.

Application for a permit shall be made in any form and shall contain any information as to the public laundry for which it is desired that the licensing authorities require. Application for a permit may be made at any time. Within forty (40) days after the receipt of an application, the licensing authorities shall determine whether or not the permit applied for shall be granted. The licensing authorities shall give the applicant for, or holder of, any permit, notice, in writing, of any decision they may make in relation to the permit. Any applicant or holder aggrieved by the decision may within thirty (30) days after receipt of that notice, appeal the decision to the superior court for the counties of Providence and Bristol. That court shall hear the appeal as soon as it may be heard and determine the appeal.

History of Section. P.L. 1928, ch. 1200, § 2; G.L. 1938, ch. 369, § 2; G.L. 1956, § 5-16-3 .

Cross References.

Appeals generally, § 9-24-1 et seq.

5-16-4. Display of permit — Inspection of laundries.

Every person to whom a permit is issued under this chapter shall keep the permit displayed in a conspicuous place in the office or place of business for which it is issued, and shall whenever requested exhibit the permit to the licensing authorities or their authorized agents. The licensing authorities shall cause an inspection to be made of each public laundry before a permit is issued for its operation and at least once a year after the first inspection. For that purpose and for the enforcement of the provisions of this chapter, the licensing authorities and their authorized agents may enter upon and inspect any premises which they have reason to believe are being conducted, operated, and maintained as a public laundry.

History of Section. P.L. 1928, ch. 1200, § 3; G.L. 1938, ch. 369, § 3; G.L. 1956, § 5-16-4 .

Cross References.

Launderers’ and cleaners’ liens, § 34-31-1 et seq.

5-16-5. Night and Sunday operations.

No public laundry shall be operated, nor collections of articles to be washed or cleaned in the laundries shall be made, in the town of West Warwick or Bristol or in any city or town whose population according to the latest federal census was more than twenty thousand (20,000), between the hours of 12 o’clock midnight and 5 o’clock in the morning of any day, nor at any time during the first day of the week; provided, that none of the previous provisions apply to automatic coin-operated laundries.

History of Section. P.L. 1928, ch. 1200, § 4; G.L. 1938, ch. 369, § 4; G.L. 1956, § 5-16-5 ; P.L. 1961, ch. 109, § 1.

Collateral References.

Night work in laundries, regulation of. 90 A.L.R. 839.

5-16-6. [Obsolete.]

Compiler’s Notes.

This section (P.L. 1928, ch. 1200, § 7; P.L. 1931, ch. 1767, § 1; P.L. 1938, ch. 2583, § 1; G.L. 1938, ch. 369, § 7; G.L. 1956, § 5-16-6 ), providing for the acceptance of the provisions of § 5-16-5 by the town of Bristol, is deemed obsolete inasmuch as the town council thereof has adopted § 5-16-5 .

5-16-7. Penalty for violations.

Any person, and any official or agent of a corporation or association operating or maintaining a public laundry or making collections of articles to be washed or cleaned in a public laundry contrary to the provisions of this chapter, or who, in any way, interferes with any of the licensing authorities or their authorized agents in the inspection of any premises as prescribed in this chapter, or who operates or maintains any public laundry without a permit as prescribed in this chapter shall be punished by a fine of not more than five hundred dollars ($500), or by imprisonment for not more than ten (10) days, or by both the fine and imprisonment, and each day of that operation after due notice from the licensing authorities is deemed a separate offense.

History of Section. P.L. 1928, ch. 1200, § 5; G.L. 1938, ch. 369, § 5; G.L. 1956, § 5-16-7 .

Chapter 17 Movers

5-17-1. Reports of removals to town or city clerk.

It is made a duty of all persons, firms, or corporations, owning or operating any moving van, furniture van, transfer wagon, express wagon, delivery wagon, commercial automobile, or other vehicle, who hauls or moves, or causes to be hauled or moved, household goods, chattels, or personal effects of any resident of the state changing the place of his or her residence, to make a report of the removal to the town or city clerk of the town or city in which those household goods, chattels, or personal effects are located, and if the removal is from one city or town to another, the report shall be filed with the city or town clerk from which the household goods, chattels, or personal effects are moved.

History of Section. P.L. 1913, ch. 952, § 1; P.L. 1919, ch. 1726, § 1; G.L. 1923, ch. 146, § 1; G.L. 1938, ch. 377, § 1; G.L. 1956, § 5-17-1 .

Cross References.

Regulation of motor freight carriers generally, § 39-12-1 et seq.

5-17-2. Contents of reports — Filing by clerk.

  1. The report required by § 5-17-1 shall be made before the expiration of ten (10) days from the date of the removal on blanks furnished by the director of labor and training. Those blanks shall contain generally the character of property moved; the full name of the owner or person in possession, or having the custody of the property; the address from which and to which the hauling or moving was done; the date of the hauling; and the name of the owner and person in charge of the vehicle.
  2. It is the duty of the respective town or city clerks in this state to properly keep those reports on file in their offices in a register or by other suitable methods for preserving those reports for a period of at least six (6) years from and after the time those reports respectively are filed, and those reports are open to public inspection. After the period of six (6) years, the reports may be destroyed.

History of Section. P.L. 1913, ch. 952, § 2; P.L. 1916, ch. 1365, § 1; G.L. 1923, ch. 146, § 2; P.L. 1927, ch. 988, § 1; P.L. 1930, ch. 1506, § 1; G.L. 1938, ch. 377, § 2; G.L. 1956, § 5-17-2 .

5-17-3. False information to movers.

It is unlawful for any other person, firm, or corporation procuring the removal of any of the property described in this chapter to give false information to the owner or operator of any vehicle employed to haul that property, or to willfully deceive him or her as to that property.

History of Section. P.L. 1913, ch. 952, § 3; G.L. 1923, ch. 146, § 3; G.L. 1938, ch. 377, § 3; G.L. 1956, § 5-17-3 .

5-17-4. Penalty for violations.

Any person, firm, or corporation violating any of the provisions of this chapter is guilty of a misdemeanor, and upon conviction, shall be fined not less than five dollars ($5.00) nor more than fifty dollars ($50.00) for each offense.

History of Section. P.L. 1913, ch. 952, § 4; G.L. 1923, ch. 146, § 4; G.L. 1938, ch. 377, § 4; G.L. 1956, § 5-17-4 .

Chapter 18 Outdoor Advertising

5-18-1. Advertising subject to chapter.

The term “outdoor advertising,” as used in this chapter, applies only to all advertising displayed to attract the attention of persons on any public highway, or while in the vehicle of any common carrier, or in any station of a common carrier, or while in any public building, public park, public grounds, or other public places, whether the advertising by means of printing, writing, picture, or a combination of those, and whatever may be the means of display, except that it does not include advertising located upon private property and relating exclusively to the business conducted on that property or the sale or rental of the property, or advertising in or upon the cars and stations of any common carrier.

History of Section. P.L. 1910, ch. 542, § 1; G.L. 1923, ch. 121, § 1; G.L. 1938, ch. 375, § 1; G.L. 1956, § 5-18-1 .

Cross References.

Political advertising, § 17-23-2 .

Comparative Legislation.

Outdoor advertising:

Conn. Gen. Stat. § 21-50 et seq.

Mass. Ann. Laws Ch. 93, § 29 et seq.

NOTES TO DECISIONS

Constitutionality.

This chapter does not violate the “due process” or “just compensation” clauses of the U.S. Const., Amend. 14, or the “law of the land” clause of the R.I. Const., Art. 1, § 10 . Horton v. Old Colony Bill Posting Co., 36 R.I. 507 , 90 A. 822, 1914 R.I. LEXIS 44 (1914); Gilmartin v. Standish-Barnes Co., 40 R.I. 219 , 100 A. 394, 1917 R.I. LEXIS 24 (1917).

Exemptions.

Exemption in favor of advertising carried on by owner of private property involved was not unreasonable, since such advertising exclusively for the benefit of the owner and his customers would be safely erected in order to protect other parts of the property and the customers, whereas outdoor advertising as a business was carried on for profit apart from the business on which the signs are posted and should be regulated in order that profit in such advertising would not cause the person erecting such signs to create danger to the passing public. Horton v. Old Colony Bill Posting Co., 36 R.I. 507 , 90 A. 822, 1914 R.I. LEXIS 44 (1914).

Collateral References.

Aircraft, regulation or prohibition of advertising by. 41 A.L.R.2d 1314.

Classification and maintenance of advertising structures as nonconforming uses. 80 A.L.R.3d 630.

Constitutional power to regulate outdoor and streetcar advertising. 79 A.L.R. 551.

Eminent domain: compensability of loss of view from owner’s property — state cases. 25 A.L.R.4th 671.

Governmental liability for compensation or damages to advertiser arising from obstruction of public view of sign or billboard on account of growth of vegetation in public way. 21 A.L.R.4th 1309.

Intoxicating liquors, validity, construction, and effect of statutes, ordinances, or regulations prohibiting or regulating advertising of. 20 A.L.R.4th 600.

Validity and construction of ordinance prohibiting roof signs. 76 A.L.R.3d 1162.

Validity and construction of provision prohibiting or regulating advertising sign overhanging street or sidewalk. 80 A.L.R.3d 687.

Validity and construction of state or local regulation prohibiting off-premises advertising structures. 81 A.L.R.3d 486.

Validity and construction of state or local regulation prohibiting the erection or maintenance of advertising structures within a specified distance of street or highway. 81 A.L.R.3d 564.

Validity and construction of statute or ordinance restricting outdoor rate advertising by motels, motor courts, and the like. 80 A.L.R.3d 740.

5-18-2. Regulatory powers of town and city councils.

In order to preserve the health, safety, morals, and comfort of the inhabitants of this state, the city and town councils, in addition to any powers now enabling, shall have power by ordinance to regulate outdoor advertising in their city or town, as to the place where that advertising may be permitted; the size and kind of the structures upon which it may be placed; and the subject matter that may appear on the outdoor advertising; provided, that those regulations are reasonable in their requirements.

History of Section. P.L. 1910, ch. 542, § 2; G.L. 1923, ch. 121, § 2; G.L. 1938, ch. 375, § 2; G.L. 1956, § 5-18-2 .

Cross References.

Billboards near grade crossings or intersections, § 11-22-3 .

NOTES TO DECISIONS

Applicability.

Ordinance of city of Providence passed in compliance with this section was valid, since its provisions purported to be and did “preserve and promote the public safety, health, morals, comfort, and general welfare.” Horton v. Old Colony Bill Posting Co., 36 R.I. 507 , 90 A. 822, 1914 R.I. LEXIS 44 (1914); Gilmartin v. Standish-Barnes Co., 40 R.I. 219 , 100 A. 394, 1917 R.I. LEXIS 24 (1917).

Collateral References.

Billboards and other outdoor advertising signs as civil nuisance. 38 A.L.R.3d 647.

Outdoor advertising, municipal power as to. 72 A.L.R. 477; 58 A.L.R.2d 1314.

Validity of regulations restricting height of freestanding advertising signs. 56 A.L.R.3d 1207.

5-18-3. Advertising requiring specific approval.

In order to more effectively secure compliance with regulations issued pursuant to § 5-18-2 , any ordinance may provide that no outdoor advertising shall be maintained or displayed unless that outdoor advertising, in respect to all the matters specified in § 5-18-2 , is first approved, by a city or town officer designated in the ordinance, as being in conformity with those regulations; provided, that, whenever any city or town officer refuses or withholds that approval, application may be made to the city or town council for its approval of the application; and if approved by that city or town council, as being in conformity with those regulations, no approval of the city or town officer is required before maintaining or displaying the advertising.

History of Section. P.L. 1910, ch. 542, § 3; G.L. 1923, ch. 121, § 3; G.L. 1938, ch. 375, § 3; G.L. 1956, § 5-18-3 .

NOTES TO DECISIONS

Constitutionality.

Provision requiring approval of billboard advertising by city and town officials designated by ordinance did not violate constitutional provision guaranteeing jury trial since the guaranty of jury trial applies only to those proceedings in which there was a right of jury trial at the time of the adoption of the Rhode Island Constitution. Horton v. Old Colony Bill Posting Co., 36 R.I. 507 , 90 A. 822, 1914 R.I. LEXIS 44 (1914); Gilmartin v. Standish-Barnes Co., 40 R.I. 219 , 100 A. 394, 1917 R.I. LEXIS 24 (1917).

Provision requiring approval of erection of billboard signs by city and town officials designated by city ordinance does not constitute the creation of judicial powers in the said officials contrary to provisions of the state Constitution. Horton v. Old Colony Bill Posting Co., 36 R.I. 507 , 90 A. 822, 1914 R.I. LEXIS 44 (1914); Gilmartin v. Standish-Barnes Co., 40 R.I. 219 , 100 A. 394, 1917 R.I. LEXIS 24 (1917).

Application for Permit.

Correct procedure was followed where petitioner first applied to the building inspector for a permit to erect billboards and upon refusal transferred application to city council. Newport Poster Advertising Co. v. City Council of Newport, 84 R.I. 155 , 122 A.2d 170, 1956 R.I. LEXIS 41 (1956).

5-18-4. Penalty for violations — Inspection and removal.

Any person who violates any of the regulations issued pursuant to § 5-18-3 , or maintains or displays any outdoor advertising without the approval in any city or town where that approval is required, shall be fined not exceeding ten dollars ($10.00) for every day the violation, maintenance, or display continues. Any and all officers authorized by that ordinance have the right to enter upon the premises where that outdoor advertising is maintained or displayed, for the purpose of inspecting the advertising, and may remove any outdoor advertising and structures that are not in conformity with those regulations; provided, that any person maintaining or displaying outdoor advertising has been convicted of any violation of this chapter regarding outdoor advertising.

History of Section. P.L. 1910, ch. 542, § 4; G.L. 1923, ch. 121, § 4; G.L. 1938, ch. 375, § 4; G.L. 1956, § 5-18-4 .

Cross References.

False advertising, § 11-18-10 .

Chapter 19 Pharmacy [Repealed.]

5-19-1 — 5-19-38. [Repealed.]

Repealed Sections.

This chapter (G.L. 1896, ch. 152, §§ 1-8; P.L. 1901, ch. 809, § 34; P.L. 1901, ch. 866, §§ 1, 2; P.L. 1906, ch. 1365, § 4; G.L. 1909, ch. 178, §§ 1-10, 16; P.L. 1909 ch. 391, §§ 2, 3; P.L. 1910, ch. 588, §§ 1, 2; P.L. 1912, ch. 841, §§ 1-6; P.L. 1918, ch. 1621, § 1; P.L. 1921, ch. 2059, §§ 1, 2; G.L. 1923, ch. 167, §§ 1-3, 5-10, 13; P.L. 1926, ch. 794, §§ 1-6; P.L. 1932, ch. 1962, §§ 1, 2; P.L. 1935, ch. 2250, § 110; P.L. 1937, ch. 2542, § 1; G.L. 1938, ch. 276, §§ 1-7, 9, 10, 13, 19; P.L. 1948, ch. 2040, § 1; P.L. 1949, ch. 2356, § 1; impl. am. P.L. 1951, ch. 2727, art. 1, § 2; P.L. 1951, ch. 2804, § 1; G.L. 1956, §§ 5-19-1 — 5-19-37; P.L. 1960, ch. 76, § 8; P.L. 1960, ch. 164, § 1, P.L. 1962, ch. 120, § 1; P.L. 1964, ch. 104, § 1; P.L. 1971, ch. 258, § 1; P.L. 1972, ch. 116, § 1; P.L. 1972, ch. 202, § 1; P.L. 1973, ch. 7, § 1; P.L. 1975, ch. 269, § 1; P.L. 1976, ch. 237, § 3; P.L. 1978, ch. 106, § 2; P.L. 1979, ch. 154, § 1; P.L. 1979, ch. 169, § 1; P.L. 1980, ch. 298, § 1; P.L. 1981, ch. 88, § 3; P.L. 1984, ch. 230, § 1; P.L. 1989, ch. 182, § 1; P.L. 1989, ch. 193, § 1; P.L. 1989, ch. 260, § 1; P.L. 1989, ch. 370, §§ 1, 2; P.L. 1990, ch. 10, art. 6, § 1; P.L. 1990, ch. 355, § 1; P.L. 1993, ch. 58, § 1; P.L. 1996, ch. 164, § 1; P.L. 1997, ch. 143, § 1; P.L. 1997, ch. 144, § 1; P.L. 1998, ch. 261, § 1; P.L. 1998, ch. 353, § 1; P.L. 1999, ch. 160, § 1; P.L. 2000, ch. 506, § 1; P.L. 2001, ch. 77, art. 14, § 2), consisting of §§ 5-19-1 — 5-19-38 and concerning the business and profession of pharmacy, was repealed by P.L. 2001, ch. 60, § 1, effective January 1, 2002. For present similar provisions, see § 5-19.1-1 et seq.

Chapter 19.1 Pharmacies

5-19.1-1. Introduction.

The legislature finds that the practice of pharmacy is a learned profession. The sole legislative purpose for enacting this chapter is to ensure that every pharmacy and pharmacist practicing in the state meet minimum standards for safe practice. Pharmacists who fall below minimum competency or who otherwise present a danger to the public shall be prohibited from practicing in this state. The intent of the legislature is to facilitate the pharmacy practice evolution from a product-oriented profession to one that is increasingly based on desired patient outcomes through pharmaceutical care. The current pharmacy statute limits the definition of pharmacy practice to specific distinct traditional pharmacy practice roles. Contemporary pharmacy practice and the evolving roles of pharmacists are limited by the boundaries of traditional statutory definitions.

History of Section. P.L. 2001, ch. 60, § 2.

Comparative Legislation.

Pharmacies:

Conn. Gen. Stat. § 20-570 et seq.

Mass. Ann. Laws ch. 13, § 22 et seq.

5-19.1-2. Definitions.

  1. “Biological product” means a “biological product” as defined in the “Public Health Service Act,” 42 U.S.C. § 262.
  2. “Board” means the Rhode Island board of pharmacy.
  3. “Change of ownership” means:
    1. In the case of a pharmacy, manufacturer, or wholesaler that is a partnership, any change that results in a new partner acquiring a controlling interest in the partnership;
    2. In the case of a pharmacy, manufacturer, or wholesaler that is a sole proprietorship, the transfer of the title and property to another person;
    3. In the case of a pharmacy, manufacturer, or wholesaler that is a corporation:
      1. A sale, lease exchange, or other disposition of all, or substantially all, of the property and assets of the corporation; or
      2. A merger of the corporation into another corporation; or
      3. The consolidation of two (2) or more corporations resulting in the creation of a new corporation; or
      4. In the case of a pharmacy, manufacturer, or wholesaler that is a business corporation, any transfer of corporate stock that results in a new person acquiring a controlling interest in the corporation; or
      5. In the case of a pharmacy, manufacturer, or wholesaler that is a non-business corporation, any change in membership that results in a new person acquiring a controlling vote in the corporation.
  4. “Compounding” means the act of combining two (2) or more ingredients as a result of a practitioner’s prescription or medication order occurring in the course of professional practice based upon the individual needs of a patient and a relationship between the practitioner, patient, and pharmacist. Compounding does not mean the routine preparation, mixing, or assembling of drug products that are essentially copies of a commercially available product. Compounding shall only occur in the pharmacy where the drug or device is dispensed to the patient or caregiver and includes the preparation of drugs or devices in anticipation of prescription orders based upon routine, regularly observed prescribing patterns.
  5. “Controlled substance” means a drug or substance, or an immediate precursor of such drug or substance, so designated under, or pursuant to, the provisions of chapter 28 of title 21.
  6. “Deliver” or “delivery” means the actual, constructive, or attempted transfer from one person to another of a drug or device, whether or not there is an agency relationship.
  7. “Device” means instruments, apparatus, and contrivances, including their components, parts, and accessories, intended:
    1. For use in the diagnosis, cure, mitigation, treatment, or prevention of disease in humans or other animals; or
    2. To affect the structure or any function of the body of humans or other animals.
  8. “Director” means the director of the Rhode Island state department of health.
  9. “Dispense” means the interpretation of a prescription or order for a drug, biological, or device and, pursuant to that prescription or order, the proper selection, measuring, compounding, labeling, or packaging necessary to prepare that prescription or order for delivery or administration.
  10. “Distribute” means the delivery of a drug or device other than by administering or dispensing.
  11. “Drug” means:
    1. Articles recognized in the official United States Pharmacopoeia or the Official Homeopathic Pharmacopoeia of the U.S.;
    2. Substances intended for use in the diagnosis, cure, mitigation, treatment, or prevention of disease in humans or other animals;
    3. Substances (other than food) intended to affect the structure, or any function, of the body of humans or other animals; or
    4. Substances intended for use as a component of any substances specified in subsection (k)(1), (k)(2), or (k)(3), but not including devices or their component parts or accessories.
  12. “Equivalent and interchangeable” means a drug, excluding a biological product, having the same generic name, dosage form, and labeled potency, meeting standards of the United States Pharmacopoeia or National Formulary, or their successors, if applicable, and not found in violation of the requirements of the United States Food and Drug Administration, or its successor agency, or the Rhode Island department of health.
  13. “Interchangeable biological product” means a biological product that the United States Food and Drug Administration has:
    1. Licensed and determined meets the standards for interchangeability pursuant to 42 U.S.C. § 262(k)(4) or lists of licensed, biological products with reference product exclusivity and biosimilarity or interchangeability evaluations; or
    2. Determined is therapeutically equivalent as set forth in the latest edition of, or supplement to, the United States Food and Drug Administration’s Approved Drug Products with Therapeutic Equivalence Evaluations.
  14. “Intern” means:
    1. A graduate of an American Council on Pharmaceutical Education (ACPE)-accredited program of pharmacy;
    2. A student who is enrolled in at least the first year of a professional ACPE-accredited program of pharmacy; or
    3. A graduate of a foreign college of pharmacy who has obtained full certification from the FPGEC (Foreign Pharmacy Graduate Equivalency Commission) administered by the National Association of Boards of Pharmacy.
  15. “Legend drugs” means any drugs that are required by any applicable federal or state law or regulation to be dispensed on prescription only or are restricted to use by practitioners only.
  16. “Limited-function test” means those tests listed in the federal register under the Clinical Laboratory Improvement Amendments of 1988 (CLIA) as waived tests. For the purposes of this chapter, limited-function test shall include only the following: blood glucose, hemoglobin A1c, cholesterol tests, and/or other tests that are classified as waived under CLIA and are approved by the United States Food and Drug Administration for sale to the public without a prescription in the form of an over-the-counter test kit.
  17. “Manufacture” means the production, preparation, propagation, compounding, or processing of a drug or other substance or device or the packaging or repackaging.
  18. “Non-legend” or “nonprescription drugs” means any drugs that may be lawfully sold without a prescription.
  19. “Person” means an individual, corporation, government, subdivision, or agency, business trust, estate, trust, partnership, or association, or any other legal entity.
  20. “Pharmaceutical care” is the provision of drugs and other pharmaceutical services intended to achieve outcomes related to cure or prevention of a disease, elimination or reduction of a patient’s symptoms, or arresting or slowing of a disease process. “Pharmaceutical care” includes the judgment of a pharmacist in dispensing an equivalent and interchangeable drug or device in response to a prescription after appropriate communication with the prescriber and the patient.
  21. “Pharmacist in charge” means a pharmacist licensed in this state as designated by the owner as the person responsible for the operation of a pharmacy in conformance with all laws and regulations pertinent to the practice of pharmacy and who is personally in full and actual charge of such pharmacy and personnel.
  22. “Pharmacy” means that portion or part of a premise where prescriptions are compounded and dispensed, including that portion utilized for the storage of prescription or legend drugs.
  23. “Pharmacy technician” means an individual who meets minimum qualifications established by the board, that are less than those established by this chapter as necessary for licensing as a pharmacist, and who works under the direction and supervision of a licensed pharmacist.
  24. “Practice of pharmacy” means the interpretation, evaluation, and implementation of medical orders; the dispensing of prescription drug orders; participation in drug and device selection; the compounding of prescription drugs; drug regimen reviews and drug or drug-related research; the administration of adult immunizations and, medications approved by the department of health in consultation with the board of pharmacy for administration by a pharmacist except as provided by § 5-25-7 , pursuant to a valid prescription or physician-approved protocol and in accordance with regulations, to include training requirements as promulgated by the department of health; the administration of all forms of influenza immunizations to individuals between the ages of nine (9) years and eighteen (18) years, inclusive, pursuant to a valid prescription or prescriber-approved protocol, in accordance with the provisions of § 5-19.1-31 and in accordance with regulations, to include necessary training requirements specific to the administration of influenza immunizations to individuals between the ages of nine (9) years and eighteen (18) years, inclusive, as promulgated by the department of health; provision of patient counseling and the provision of those acts or services necessary to provide pharmaceutical care; the responsibility for the supervision for compounding and labeling of drugs and devices (except labeling by a manufacturer, repackager, or distributor of nonprescription drugs and commercially packaged legend drugs and devices), proper and safe storage of drugs and devices, and maintenance of proper records for them; and the performance of clinical laboratory tests, provided such testing is limited to limited-function tests as defined herein. Nothing in this definition shall be construed to limit or otherwise affect the scope of practice of any other profession.
  25. “Practitioner” means a physician, dentist, veterinarian, nurse, or other person duly authorized by law in the state in which they practice to prescribe drugs.
  26. “Preceptor” means a pharmacist registered to engage in the practice of pharmacy in this state who has the responsibility for training interns.
  27. “Prescription” means an order for drugs or devices issued by the practitioner duly authorized by law in the state in which he or she practices to prescribe drugs or devices in the course of his or her professional practice for a legitimate medical purpose.
  28. “Wholesaler” means a person who buys drugs or devices for resale and distribution to corporations, individuals, or entities other than consumers.

History of Section. P.L. 2001, ch. 60, § 2; P.L. 2007, ch. 53, § 1; P.L. 2007, ch. 65, § 1; P.L. 2011, ch. 91, § 1; P.L. 2011, ch. 109, § 1; P.L. 2015, ch. 157, § 1; P.L. 2015, ch. 182, § 1; P.L. 2016, ch. 178, § 1; P.L. 2016, ch. 193, § 1; P.L. 2021, ch. 357, § 1, effective July 12, 2021; P.L. 2021, ch. 358, § 1, effective July 12, 2021.

Compiler's Notes.

P.L. 2021, ch. 357, § 1, and P.L. 2021, ch. 358, § 1 enacted identical amendments to this section.

Cross References.

Biological products used in treating animals, § 4-9-1 et seq.

Pesticide control, § 23-25-1 et seq.

NOTES TO DECISIONS

Drugs for Animal Consumption.

Under § 44-18-30 and in light of former § 5-19-1 , food, drugs and hospital maintenance supplies (with the exception of medicated shampoos and flea sprays) used by a veterinarian in the operation of an animal hospital are not exempt from the sales and use tax. Couture v. Norberg, 114 R.I. 704 , 338 A.2d 538, 1975 R.I. LEXIS 1476 (1975).

5-19.1-3. State board of pharmacy — Creation — Membership — Oath — Vacancies.

  1. Within the department of health, there shall be a board of pharmacy, consisting of nine (9) individuals, residents of the state of Rhode Island, one of whom shall be a registered pharmacist who is currently employed in the department of pharmacy at a hospital corporation in the state of Rhode Island during his or her term of appointment; two (2) of whom shall be actively engaged in the practice of independent retail pharmacy; two (2) of whom shall be representatives of the Rhode Island drug chain stores; two (2) of whom shall be actively engaged in any field of pharmacy practice; and two (2) of whom shall be from the public. All members, except the public members, shall be registered pharmacists and shall have been a licensed pharmacist for five (5) consecutive years in the state of Rhode Island immediately prior to appointment.
  2. Members of the board shall hold office for a term of three (3) years. Appointment of members shall occur as individual appointments expire, such that the composition of the board will not be altered. All appointments shall be made by the director of health with the approval of the governor.
  3. No person who has been appointed to and served for three (3) full consecutive three-year (3) terms shall be eligible for appointment to the board.
  4. Each member shall qualify by taking the usual oath of a state officer, which shall be filed with the secretary of state, and each member shall hold office for the term of his or her appointment and until his or her successor is appointed and qualified.

    In the case of the resignation or disqualification of a member, or a vacancy occurring from any cause, the director shall appoint a successor for the unexpired term.

History of Section. P.L. 2001, ch. 60, § 2; P.L. 2008, ch. 374, § 1.

Cross References.

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

5-19.1-4. State board of pharmacy — Meetings — Quorum — Chairperson.

Members of the board shall meet at the times that it shall determine and as often as necessary to discharge the duties imposed upon it. The board shall elect a chairperson and a secretary from among its members annually in March. The simple majority of the board of pharmacy shall constitute a quorum. The board shall organize each year by electing from its membership a secretary who shall record and maintain the minutes of each meeting and a chairperson.

History of Section. P.L. 2001, ch. 60, § 2.

5-19.1-5. State board of pharmacy — Powers and duties.

The board, subject to the approval of the director, shall:

  1. Regulate the practice of pharmacy and enforce all laws relating to pharmacy;
  2. Approve examinations for applicants for pharmacists’ licenses;
  3. Establish the qualifications for licensure of pharmacists, pharmacy interns, pharmacy technicians, other classes of pharmacy personnel, and wholesalers or manufacturers;
  4. Conduct hearings for the revocation or suspension of licenses, permits, registrations, certificates, or any other authority to practice granted by the board, these which hearings may, at the board’s discretion, also be conducted by an administrative hearing officer;
  5. Issue subpoenas and administer oaths in connection with any hearing or disciplinary proceeding held under this chapter or any other chapter assigned to the board; provided, however, that no deceased pharmacist shall have his/her name kept on the health department list of pharmacists that have had a disciplinary action taken against his/her license;
  6. Be authorized to promulgate rules and regulations necessary to carry out the purposes of this chapter.
  7. Adopt rules establishing and governing continuing education requirements for pharmacists and other licensees applying for renewal of licenses under this chapter;
  8. Assess an administrative penalty on any person who fails to comply with any provision of this chapter or any rule, regulation, order, license, or approval issued by the board relating to pharmacy; and
  9. Adopt any other rules and regulations as necessary to carry out provisions of this chapter.

History of Section. P.L. 2001, ch. 60, § 2; P.L. 2007, ch. 316, § 1.

5-19.1-6. Board of pharmacy — Inspectors and assistants.

The director of health is authorized to appoint in accordance with the provisions of chapter 4 of title 36 an inspector or inspectors who shall be registered pharmacists, and any other necessary assistants who shall perform such duties as the board of pharmacy shall designate.

History of Section. P.L. 2001, ch. 60, § 2.

5-19.1-7. Director of health — Powers and duties.

The director shall:

  1. Establish reasonable license and examination fees;
  2. Be authorized to appoint an inspector or inspectors who shall be registered pharmacists, and any other necessary assistants who shall perform such duties as the director shall designate;
  3. Issue, pursuant to any rules and regulations promulgated by the board and approved by the director, all licenses and registrations required by this chapter for duly qualified applicants;
  4. Deny licenses and registrations, and revoke, suspend, or otherwise discipline licensees in accordance with the provisions of this chapter; and
  5. Exercise all other powers, specifically conferred upon him or her by virtue of the provisions of this chapter or other applicable sections of the general laws of the state.

History of Section. P.L. 2001, ch. 60, § 2.

5-19.1-8. Licensing required.

  1. No person shall engage in the practice of pharmacy, establish, conduct, or maintain a pharmacy or wholesale drug operation, or manufacture drugs without obtaining a license under this chapter. It shall be unlawful for any person to practice pharmacy or to institute or operate any pharmacy unless such person shall be a licensed pharmacist or shall place in charge of the pharmacy a licensed pharmacist. Provided, persons who provide acceptable evidence of being currently licensed by examination or endorsement under the laws of other states of the United States and the District of Columbia shall not be prevented from practicing in this state for a period of ninety (90) days from the date on the application receipt, provided that they become duly licensed in this state within ninety (90) days. The board may, through regulations, establish the responsibilities and duties of the pharmacist-in-charge.
  2. The director of health may, upon determination that a waiver of the licensing requirement is necessary in the interest of public health, waive the licensing requirement for the dispensing of prescription medication in the limited instance where such medication will be dispensed by a licensed healthcare professional at a licensed ambulatory care facility located on Block Island, where it is necessary to dispense medication before it can be obtained from the mainland.

History of Section. P.L. 2001, ch. 60, § 2; P.L. 2013, ch. 265, § 1; P.L. 2013, ch. 354, § 1.

5-19.1-9. Pharmacy license — Fee — Display — Declaration of ownership and location.

  1. A pharmacy license shall be issued to any owner who meets the requirements established under this chapter or by regulations. The owner of each pharmacy shall pay an original license fee to be determined by the director, and annually thereafter, on or before a date to be determined by the director, for which he or she shall receive a license of location, which shall entitle the owner to operate such pharmacy at the location specified, or such other temporary location as the director may approve, for the period ending on a date to be determined by the director, and each owner shall at the time of filing proof of payment of such fee, file with the department on a blank provided for it, a declaration of ownership and location, which declaration of ownership and location so filed as aforesaid shall be deemed presumptive evidence of ownership of the pharmacy mentioned therein. A license shall be issued to the owner and premises listed on the form and shall not be transferred. A license issued pursuant to this section shall be the property of the state and loaned to the licensee, and it shall be kept posted in a conspicuous place on the licensed premises. If a change in owner or premise listed in said firm occurs, the license becomes null and void.
  2. It shall be the duty of the owner to immediately notify the department of any proposed change of location or ownership.
  3. In the event such license fee remains unpaid on the date due, no renewal or new license shall be issued except upon payment of the license renewal fee.

History of Section. P.L. 2001, ch. 60, § 2.

Cross References.

Class E alcoholic beverages license, § 3-7-13 .

NOTES TO DECISIONS

In General.

Legislative discrimination under § 3-7-13 in favoring persons entitled to sell medicines and poisons by allowing them to sell alcoholic beverages at retail in the same store as other merchandise was not violative of equal protection clause of the Fourteenth Amendment of United States Constitution, since such persons are strictly regulated and licensed. C. Tisdall Co. v. Board of Aldermen, 57 R.I. 96 , 188 A. 648, 1936 R.I. LEXIS 70 (1936).

Collateral References.

Insurance, when one insured as druggist deemed to be totally and continuously unable to transact all business duties. 24 A.L.R. 221; 98 A.L.R. 814.

License, failure of druggist or apothecary to procure, as affecting validity of contract. 30 A.L.R. 862; 42 A.L.R. 1226; 118 A.L.R. 646.

Registered pharmacist, construction of statutes in relation to operation of drug store, pharmacy, or chemical store, without. 74 A.L.R. 1084.

5-19.1-10. Restricted pharmacies — License.

  1. Upon application of the plan administrator or trustee of any trust, fund, pension plan, combination plan, or profit sharing plan, which is subject to the provisions of the Employee Retirement Income Security Act of 1974, 29 U.S.C. § 1001 et seq., the board of pharmacy may license a facility, subsequently called a “restricted pharmacy,” for the purpose of dispensing pharmacy services to beneficiaries; provided, that no such license shall be granted unless the trust, fund, or plan demonstrates to the satisfaction of the board of pharmacy that it is associated with another such trust, fund, or plan already licensed in another state to own and operate a restricted pharmacy for the purpose of dispensing pharmacy services to its beneficiaries. Charges for those services shall be determined by the trustee or plan administrator. A restricted pharmacy may, after written notice to the board, limit its operation to a specific schedule of drugs.
  2. The board of pharmacy may establish regulations that shall apply to a restricted pharmacy. Nothing in this section shall prohibit a restricted pharmacy from accepting or filling prescriptions by mail; provided, that the prescribing physician is verified, according to the procedures established by chapter 37 of this title as licensed to practice in this state or in any New England state.

History of Section. P.L. 2001, ch. 60, § 2.

5-19.1-11. Nonresident pharmacy — Fees — Display — Declaration of ownership and location.

  1. Any pharmacy located outside this state that ships, mails, or delivers, in any manner, legend drugs, controlled substances, or devices into this state is a nonresident pharmacy and shall be licensed by the department. The nonresident pharmacy shall maintain at all times a valid unexpired license, permit, or registration to operate the pharmacy in compliance with the laws of the state in which it is located. Any pharmacy subject to this section shall comply with the board of pharmacy regulations of this state when dispensing legend drugs or devices to residents of this state.
  2. A pharmacy license will be issued to the owner who meets the requirements established pursuant to this chapter or regulations. The owner of each pharmacy shall pay an original license fee to be determined by the director, and annually thereafter, on or before a date to be determined by the director, for which he or she shall receive a license of location that shall entitle the owner to operate the pharmacy at the specified location, or any other temporary location as the director may approve, for the period ending on a date to be determined by the director. Each owner shall, at the time of filing, provide proof of payment of the fee and each owner shall file with the department, on a provided form, a declaration of ownership and location. The declaration of ownership and location so filed shall be deemed presumptive evidence of ownership of the pharmacy mentioned in the form. A license shall be issued to the owner and premise listed on the form and shall not be transferred. A license issued pursuant to this section shall be the property of the state and loaned to the licensee and it shall be kept posted in a conspicuous place on the licensed premises. If a change in owner or premise listed in the form occurs, the license shall become null and void.
  3. It shall be the duty of the owner to immediately notify the department of any proposed change of location or ownership.
  4. In the event the license fee remains unpaid on the date due, no renewal or new license shall be issued except upon payment of the license renewal fee.

History of Section. P.L. 2001, ch. 60, § 2; P.L. 2004, ch. 364, § 1; P.L. 2004, ch. 371, § 1; P.L. 2019, ch. 308, art. 1, § 8.

Effective Dates.

P.L. 2004, ch. 364, § 3 and P.L. 2004, ch. 371, § 3, provide that the amendment to this section by those acts shall take effect on January 15, 2005, and shall be repealed in its entirety on December 31, 2007.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-19.1-11.1. Rules.

On or before January 15, 2005, the department of health shall promulgate rules, pursuant to chapter 35 of title 42, establishing standards and procedures to protect the health and safety of the public and governing the operation and licensing of Canadian pharmacies necessitated by the enactment of subsections (c), (d) and (e) of § 5-19.1-11 .

History of Section. P.L. 2004, ch. 364, § 2.

5-19.1-12. Manufacturer’s license — Fees — Display — Declaration of ownership and location.

The owner of each and every place of business that manufactures legend drugs within this state, and any person who manufactures legend drugs outside this state for distribution within this state, shall be licensed by the department. The owner shall pay a license fee to be determined by the director, and thereafter, on or before a date to be determined by the director, a fee to be determined by the director, for which the owner shall receive a license of location from the director. The license shall entitle the owner to manufacture drugs at the specified location for the period ending on a date to be determined by the board, and each such owner shall at the time of payment of such fee file with the department, on a provided form, a declaration of ownership and location. The declaration of ownership and location so filed as aforesaid shall be deemed presumptive evidence of the ownership of such place of business mentioned in the form. A license issued pursuant to this section shall be the property of the state and loaned to the licensee, and it shall be kept posted in a conspicuous place on the licensed premises. It shall be the duty of the owner to immediately notify the department of any proposed change of location or ownership. In the event such license fee remains unpaid on the date due, no renewal or new license shall be issued except upon payment of the license renewal fee. A license shall be issued to the owner and premise listed on the form and shall not be transferred. If a change in owner or premise listed on said form occurs, the license becomes null and void.

History of Section. P.L. 2001, ch. 60, § 2.

Cross References.

Labeling of controlled substances by manufacturer, § 21-28-3.26 .

License to manufacture or wholesale controlled substances, § 21-28-3.06 .

Registration of manufacturer of controlled substances, § 21-28-3.03 et seq.

Collateral References.

Manufacturer’s or packer’s liability for injury to person of ultimate consumer who purchased drug or medicine from middleman. 17 A.L.R. 686; 39 A.L.R. 992; 63 A.L.R. 340; 88 A.L.R. 527; 105 A.L.R. 1502; 111 A.L.R. 1239; 140 A.L.R. 191; 142 A.L.R. 1490; 164 A.L.R. 371.

5-19.1-13. Wholesaler’s license — Fees — Display — Declaration of ownership and location.

The owner of each place of business, located within or outside this state, that distributes legend drugs and nonprescription drugs at wholesale in this state, shall pay a license fee to be determined by the director, and thereafter, on or before a date to be determined by the director, a fee to be determined by the director, for which the owner shall receive a license of location from the department, which shall entitle such owner to either sell legend drugs and nonprescription drugs at wholesale at the specified location for the period ending on a date to be determined by the board, and each such owner shall at the time of payment of such fee file with the department, on a provided form, a declaration of ownership and location, which declaration of ownership and location so filed as aforesaid shall be deemed presumptive evidence of the ownership of such place of business mentioned in the form. It shall be the duty of the owner to immediately notify the department of any change of location and ownership and to keep the license of location or the renewal thereof properly exhibited in such place of business. In the event such license fee remains unpaid on the date due, no renewal or new license shall be issued except upon payment of the license renewal fee. A license shall be issued to the owner and premise listed on the form and shall not be transferred. If a change in owner or premise listed on the form occurs, the license becomes null and void.

History of Section. P.L. 2001, ch. 60, § 2.

Cross References.

Sale of controlled substances to medical practitioners, § 21-28-3.10 .

5-19.1-14. Licensing of pharmacists — Prerequisites — Examinations — Reciprocity — Fees — Renewal.

  1. The director shall license as a pharmacist any individual who shall:
    1. Be at least eighteen (18) years of age;
    2. Have satisfied the board that he or she is of good moral and professional character;
    3. Hold a baccalaureate degree in pharmacy or a doctor of pharmacy degree granted by a school or college of pharmacy program that is accredited by the American Council on Pharmaceutical Education; or is a graduate of a foreign college who wishes to be examined for licensure as a pharmacist in this state and who shall provide evidence of successful completion of the FPGEC Certification Program as established in regulation;
    4. Have completed or have otherwise met the internship requirements as set forth in rules;
    5. Have satisfactorily passed examinations approved by the board and the director; and
    6. Have met any additional requirements that may be established in regulations.
  2. The department shall, without examination other than those required in regulation relating to the practice of pharmacy, license as a pharmacist any individual who has been duly licensed by examination as a pharmacist under the laws of another state, territory, or possession of the United States, if, in the opinion of the board of pharmacy, the applicant meets the qualifications required of professional pharmacists in this state.
  3. Every application under this section shall be accompanied by a fee as determined by the department in regulation.
  4. The department shall provide for, regulate, and require all persons licensed as pharmacists to periodically renew their license, and shall prescribe the form of the license and information required to be submitted by all applicants.

History of Section. P.L. 2001, ch. 60, § 2; P.L. 2019, ch. 308, art. 1, § 8.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

Collateral References.

Civil liability of pharmacists or druggists for failure to warn of potential drug interactions in use of prescription drug. 79 A.L.R.5th 409.

Construction and application of learned-intermediary doctrine. 57 A.L.R.5th 1.

Experimental evidence in action for negligence in sale of drug. 8 A.L.R. 36; 85 A.L.R. 479.

Liability of manufacturer or seller for injury caused by drug or medicine sold. 79 A.L.R.2d 301.

Liability of manufacturer or seller for injury or death allegedly caused by use of contraceptive. 54 A.L.R.5th 1.

Mistake as to chemical or product furnished, or misdescription thereof by label or otherwise, as basis of liability for personal injury or death resulting from combination with other chemical. 123 A.L.R. 939.

5-19.1-15. Pharmacy interns — License — Fees — Renewals.

  1. Any person who is a graduate of an accredited program of pharmacy, or who is a student enrolled in at least the third year of a professional program of an accredited program of pharmacy, or any graduate of a foreign college of pharmacy who has obtained FPGEC certification may file an application for licensure as a pharmacy intern with the department. He or she shall be required to furnish any information that the board may, by regulation, prescribe and, simultaneously with the filling of the application, shall pay to the department a fee to be determined by the department. All licenses issued to pharmacy interns shall be valid for a period to be determined by the department, but in no instance shall the license be valid if the individual is no longer making timely progress toward graduation. No pharmacy student may serve an internship with a preceptor without holding a valid pharmacy intern license from the board of pharmacy.
  2. To ensure adequate practical instruction, pharmacy internship experience as required under this chapter shall be obtained after licensure as a pharmacy intern by practice in any licensed pharmacy or other program meeting the requirements promulgated by regulation of the board, and shall include any instruction in the practice of pharmacy that the board by regulation shall prescribe.
  3. Licensed pharmacy interns shall practice only under the immediate supervision of a licensed pharmacist.

History of Section. P.L. 2001, ch. 60, § 2; P.L. 2019, ch. 308, art. 1, § 8.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-19.1-16. Pharmacy technicians — License — Fees — Renewals.

A pharmacy technician license shall be issued to any individual who meets the requirements established under this chapter or by regulations. The pharmacy technician shall file an application for licensure with the department and shall be required to furnish any information that the board may, by regulation, prescribe and, simultaneously with the filing of the application, shall pay a fee to the department to be determined by the department. All licenses issued to pharmacy technicians shall be valid for a period to be determined by the department. No individual may serve as a pharmacy technician without holding a valid pharmacy technician license from the board of pharmacy.

History of Section. P.L. 2001, ch. 60, § 2.

5-19.1-17. Central database — Operation.

  1. Pharmacies operated by a person pursuant to this chapter may refill prescriptions that have been previously dispensed by an affiliated pharmacy; provided, that prior to dispensing a refill, the pharmacy refilling the prescription verifies the appropriateness of the refill through a centralized database.
  2. Clinic pharmacies operated by a health maintenance organization licensed under chapter 41 of title 27 and this chapter may refill prescriptions that have been previously dispensed by another health maintenance organization clinic pharmacy; provided, that prior to dispensing a refill, the pharmacy refilling the prescription verifies the appropriateness of the refill through a centralized database of that health maintenance organization.
  3. Disclosure of prescription information to any other person(s) other than agents of properly licensed pharmacies pursuant to subsection (a) or (b) is prohibited. Disclosure of prescription information is permitted only to those directly involved in patient care consistent with chapter 37.3 of this title, health care communications and information.
  4. The disclosure of prescription information to researchers may only be authorized in accordance with Federal Policy for the Protection of Human Subjects.

History of Section. P.L. 2001, ch. 60, § 2.

5-19.1-18. Necessity of prescription label.

To every box, bottle, jar, tube, or other container of a prescription that is dispensed, a label shall be attached, the contents of which shall be defined by the board by regulation.

History of Section. P.L. 2001, ch. 60, § 2.

Cross References.

Filling prescriptions for controlled substances, § 21-28-3.18 .

Labeling container of controlled substances, § 21-28-3.27 .

Collateral References.

Civil liability of pharmacists or druggists for failure to warn of potential drug interactions in use of prescription drug. 79 A.L.R.5th 409.

Criminal liability of pharmacy or pharmacist for welfare fraud in connection with supplying prescription drugs. 16 A.L.R.5th 390.

Experimental evidence in action for negligence in sale of drug. 8 A.L.R. 36; 85 A.L.R. 479.

Liability of manufacturer or seller for injury caused by drug or medicine sold. 79 A.L.R.2d 301.

Mistake as to chemical or product furnished, or misdescription thereof by label or otherwise, as basis of liability for personal injury or death resulting from combination with other. 123 A.L.R. 939.

5-19.1-19. Pharmacists — Substitution of drugs.

Pharmacists when dispensing a prescription shall, unless requested otherwise by the individual presenting the prescription in writing, substitute drugs containing all the same active chemical ingredients of the same strength, quantity, and dosage form as the drug requested by the prescriber from approved prescription drug products in accordance with the provisions of § 21-31-16 , unless ordered by the prescribing physician to dispense as brand name necessary on the prescription form, or if the prescriber gives oral direction to that effect to the dispensing pharmacist. The requirements of this section shall not apply to an order to dispense a drug for immediate administration to a licensed hospital, nursing facility or hospice facility in-patient. The pharmacist will make a product selection from approved prescription drug products and shall pass the savings on to the ultimate consumer. When a drug product selection is made, the pharmacist shall indicate the product dispensed on the written prescription or on the oral prescription, which has been reduced to writing, or product information may be maintained on a computerized system if information is readily retrievable.

History of Section. P.L. 2001, ch. 60, § 2.

Cross References.

Enforcement of section by director of health, § 21-31-16.1 .

Physician authorization of substitution, § 5-37-18.1 .

5-19.1-19.1. Pharmacists — Substitution of biological products.

  1. Pharmacists when dispensing a prescription for any biological product shall, unless requested otherwise by the individual presenting the prescription in writing, substitute the product with an interchangeable biological product in accordance with the provisions of § 21-31-16.1(g) . No substitution under this section shall be allowed if the prescribing physician orders the pharmacist to dispense as brand-name necessary on the prescription form, or if the prescriber gives oral direction to that effect to the dispensing pharmacist. The requirements of this section shall not apply to an order to dispense a biological product for immediate administration to a licensed hospital, nursing facility, or hospice facility in-patient. The pharmacist will make a biological product selection from approved interchangeable prescription biological products in accordance with § 21-31-16.1(g) . When a biological product selection is made, the pharmacist shall inform the patient of the selection made and shall indicate the product dispensed on the written prescription or on the oral prescription, which has been reduced to writing, or product information may be maintained on a computerized system if information is readily retrievable.
  2. Within five (5) business days following the dispensing of a biological product, the dispensing pharmacist, or the pharmacist’s designee, shall communicate to the prescriber the specific product provided to the patient, including the name of the product and the manufacturer.
  3. The communication shall be conveyed by making an entry electronically accessible to the prescriber through:
    1. An interoperable, electronic medical-records system;
    2. An electronic prescribing technology;
    3. A pharmacy benefit management system; or
    4. A pharmacy record.
  4. Entry into an electronic records system as described in this section is presumed to provide notice to the prescriber. Otherwise, the pharmacist shall communicate the biological product dispensed to the prescriber using facsimile, telephone, electronic transmission, or other prevailing means; provided that the communication shall not be required where:
    1. There is no interchangeable biological product for the product prescribed approved by the United States Food and Drug Administration; or
    2. A refill prescription is not changed from the product dispensed on the prior filling of the prescription.

History of Section. P.L. 2016, ch. 178, § 2; P.L. 2016, ch. 193, § 2; P.L. 2019, ch. 308, art. 1, § 8.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-19.1-20. License — Renewal — Fee display.

Every licensed pharmacist who desires to practice pharmacy shall secure from the department a license, the fee for which shall be determined by the director. The renewal fee shall also be determined in regulation by the director. The date of renewal may be established by the director by regulation, and the department may by regulation extend the duration of a licensing period. The current license shall be conspicuously displayed to the public in the pharmacy to which it applies.

History of Section. P.L. 2001, ch. 60, § 2.

5-19.1-21. Refusal, suspension and revocation of licensees.

The board of pharmacy, with the approval of the director, may deny, suspend, revoke, or otherwise discipline the licensee upon proof that:

  1. The license was procured through fraud, misrepresentation, or deceit;
  2. The licensee has violated any of the laws of this state or the United States relating to the practice of pharmacy, drugs, controlled substances, cosmetics, or nonprescription drugs, or has violated any of the rules and regulations of the board of pharmacy or has been convicted of a felony;
  3. A court of competent jurisdiction has determined a pharmacist to be mentally incompetent; the pharmacist shall automatically have his or her license suspended by the board upon the entry of the judgment, regardless of the pendency of an appeal;
  4. The licensee has dependence upon controlled substances or habitual drunkenness, or rendering professional services while the licensee is intoxicated or incapacitated by the use of drugs;
  5. The licensee made and/or filed false reports or records;
  6. The licensee’s conduct is incompetent or negligent, which shall include, but not be limited to, any departure from or failure to conform to the minimal standards acceptable and prevailing pharmacy practice as determined by the board;
  7. The licensee has been found guilty in another state of conduct, which, if committed in Rhode Island, would constitute grounds to deny, revoke, suspend, or otherwise discipline a licensee;
  8. The licensee has violated or permitted the violation of any provision of any state or federal law, rule, or regulation governing the possession, use, distribution, or dispensing of drugs, including, but not limited to, the violation of any provision of this chapter, chapter 28 of title 21, chapter 31 of title 21, or rule or regulation of the board;
  9. The licensee has knowingly allowed any unlicensed person to take charge of a pharmacy or engage in the practice of pharmacy;
  10. The pharmacist has compounded, dispensed, or caused the compounding or dispensing of any drug or device that contains more or less than the equivalent quantity of ingredient or ingredients specified by the person who prescribed such drug or device; provided, that nothing herein shall be construed to prevent the pharmacist from exercising professional judgment in the preparation or providing of such drugs or devices;
  11. The licensee has engaged in unprofessional conduct by failing to maintain the standards of practice or by such other conduct as prescribed in regulation;
  12. On or after July 6, 1993, the board of pharmacy shall refuse to grant any pharmacy license to any individual who is a practitioner authorized to prescribe medications or to any partnership, corporation, or other entity in which practitioners authorized to prescribe medications maintain a financial interest that, in the aggregate, exceeds ten percent (10%) of the total ownership of the entity or of the subject pharmacy or drug store;
  13. On or after July 1, 1994, good and sufficient cause shall exist for the refusal to renew and for the revocation of any pharmacy license if, after a hearing, the board of pharmacy determines that:
    1. Practitioners with authority to prescribe medications maintain a financial interest that, in the aggregate, exceeds ten percent (10%) of the total ownership of the subject pharmacy, drug store, or licensee; or
    2. More than forty percent (40%) of the prescriptions filled by the subject pharmacy or drug store within any three-month (3) period beginning on or after July 1, 1994, were issued by practitioners with any ownership interest in the subject pharmacy, drug store, or licensee;
    3. Any other causes as set forth in regulations.

History of Section. P.L. 2001, ch. 60, § 2.

Cross References.

Advertising of controlled substances prohibited, § 21-28-3.23 .

Controlled substances law, violation as grounds for suspension or revocation of license, § 21-28-3.09 .

Filling prescriptions for controlled substances, § 21-28-3.18 .

Labeling of container for controlled substances, § 21-28-3.27 .

Records of controlled substances, § 21-28-3.14 .

Registration for dispensing controlled substances, § 21-28-3.02 et seq.

Sale of controlled substances stock on discontinuance of business, § 21-28-3.19 .

Collateral References.

Construction of provision of Uniform Narcotic Drug Act requiring a physician’s prescription as a prerequisite to a pharmacist’s sale of narcotics. 10 A.L.R.3d 560.

Conviction, what amounts to within statute making conviction ground for refusing or canceling license or special privilege. 113 A.L.R. 1179.

Criminal liability of pharmacy or pharmacist for welfare fraud in connection with supplying prescription drugs. 16 A.L.R.5th 390.

Entrapment to commit narcotic violation. 18 A.L.R. 146; 66 A.L.R. 478; 86 A.L.R. 263.

Giving, selling, or prescribing dangerous drugs as contributing to the delinquency of a minor. 36 A.L.R.3d 1292.

Revocation or suspension of license or permit to practice pharmacy or operate drugstore because of improper sale or distribution of narcotic or stimulant drugs. 17 A.L.R.3d 1408.

5-19.1-22. Authorized practices.

Nothing contained in this chapter shall apply to any practitioner with authority to prescribe who does not keep open shop for the retailing, dispensing of medicines and poisons, nor prevent him or her from administering or supplying to his or her patients such articles as he or she may deem fit and proper. Nothing in this chapter shall apply to, nor in any manner interfere with, the business of a general merchant in selling and distributing non-narcotic, nonprescription medicines or drugs that are prepackaged, fully prepared by the manufacturer for use by the consumer, and labeled in accordance with the requirements of the state and federal food and drug acts.

History of Section. P.L. 2001, ch. 60, § 2.

5-19.1-23. Unlawful practices.

Any person who shall take or use or exhibit in or upon any place of business, or advertise in a newspaper, telephone directory, or other directory, or by electronic media, or in any other manner, the title of pharmacist, pharmacy intern, druggist, pharmacy, drug store, medicine store, drug department, drugs, drug sundries, or any title or name of like description or import without continuously and regularly employing in his or her shop, store, or place of business, during business hours of the pharmacy, a pharmacist duly licensed under this chapter, shall be guilty of a misdemeanor, and each and every day that the prohibited practice continues shall be deemed a separate offense.

History of Section. P.L. 2001, ch. 60, § 2; P.L. 2019, ch. 308, art. 1, § 8.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-19.1-24. Emergency prescription refill.

In the event a pharmacist receives a request for a prescription refill, and the pharmacist is unable to readily obtain refill authorization from the prescriber, the pharmacist may dispense a one-time emergency refill of up to a seventy-two-hour (72) supply of the prescribed medication, provided that:

  1. The prescription is not for a drug in Schedule II appearing in chapter 28 of title 21;
  2. The medication is essential to the maintenance of life or to the continuation of therapy of a chronic condition;
  3. In the pharmacist’s professional judgment, the interruption of therapy might reasonably produce undesirable health consequences or may cause physical or mental discomfort; and
  4. The dispensing pharmacist notifies the prescriber of the emergency dispensing within a reasonable time after the dispensing.

History of Section. P.L. 2001, ch. 60, § 2; P.L. 2019, ch. 308, art. 1, § 8.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-19.1-25. Immunity.

The director of health, board members, and their agents and employees shall be immune from suit in any action, civil or criminal, based on any disciplinary proceeding or other official act performed in good faith in the course of their duties under this chapter. There shall be no civil liability on the part of, or cause of action of any nature against, the board, the director, their agents, or their employees or against any organization or its members, peer-review board or its members, or other witnesses and parties to board proceedings for any statements made in good faith by them in any reports, communications, or testimony concerning an investigation by the board of the conduct or competence of any licensee under this chapter.

History of Section. P.L. 2001, ch. 60, § 2.

5-19.1-26. Refusal, suspension, and revocation of licenses — Appeal procedure.

In any case of the refusal, suspension, or revocation of a license by the board, with the approval of the director, under the provisions of this chapter, appeal may be taken in accordance with the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 2001, ch. 60, § 2.

5-19.1-27. Penalty for operating without license.

Any person who engages in any activity that requires a license or registration under this chapter without obtaining a license as required by this chapter shall be guilty of a misdemeanor and shall upon conviction be fined not more than five hundred dollars ($500).

History of Section. P.L. 2001, ch. 60, § 2.

5-19.1-28. Severability.

If any provision of this chapter or of any rule or regulation made pursuant to this chapter or the application of the chapter, rule, or regulation thereof to any person or circumstances is held invalid by a court of competent jurisdiction, the remainder of the chapter, rule, or regulation, and the application of such provision to other persons or circumstances, shall not be affected by that invalidity.

History of Section. P.L. 2001, ch. 60, § 2.

5-19.1-29. Continuity of administration.

  1. Any proceeding or other business or matter undertaken or commenced prior to January 1, 2002, and pending on January 1, 2002, may be conducted and completed by the director of the department of health, board of pharmacy, or by a subordinate under his or her direction, in the same manner and under the same terms and conditions with the same effect as though it were undertaken or commenced or completed prior to January 1, 2002.
  2. All officers and members of the existing board, their subordinates, and employees, whose functions and duties are preserved by this chapter, shall continue to perform the same functions and duties from January 1, 2002, in like manner as though they had been appointed or employed after January 1, 2002.
  3. All rules and regulations issued, adopted, modified, or repealed by the board of pharmacy pursuant to any provisions of this chapter shall remain in effect until subsequent action of the director of health and the board of pharmacy.

History of Section. P.L. 2001, ch. 60, § 2; P.L. 2019, ch. 308, art. 1, § 8.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-19.1-30. List of drugs to be posted — Display of current selling price required — Exception.

  1. The director of the department of health shall compile a list of at least ten (10) prescribed health maintenance drugs and forward it to the board of pharmacy, which shall distribute that list to all pharmacies in the state. Each pharmacy shall post, in a clear and legible form, on that list, the current selling price of each prescription drug listed.
  2. “Current selling price” means the actual price to be paid by a retail purchaser to the pharmacy for any prescription drug listed at the usual strength and amount listed.
  3. Each pharmacy:
    1. Shall conspicuously display the list of the ten (10) prescribed health maintenance prescription drugs at or adjacent to the place in the pharmacy where prescriptions are presented for compounding and dispensing;
    2. Shall, upon request, provide to a consumer who possesses a prescription for any listed prescription drug, the current selling price of that drug; and
    3. May change the current selling price and the posting of that price on the list at any time.
  4. The requirements of this section do not apply to an order to dispense a drug for immediate administration to a hospital patient.

History of Section. P.L. 2001, ch. 60, § 2.

5-19.1-31. Administration of influenza immunizations to individuals between the ages of nine (9) years and eighteen (18) years, inclusive.

  1. Parental consent shall be required for all pharmacist-administered immunizations for individuals under the age of eighteen (18) years.
  2. The department of health shall require a pharmacist who is authorized to administer influenza immunizations to individuals between the ages of nine (9) years and eighteen (18) years, inclusive, pursuant to § 5-19.1-2 , to electronically report to the department all immunizations administered within seven (7) days of administration in the format and for the populations required by the department.
    1. The department of health shall require a pharmacist who is authorized to administer influenza immunizations to individuals between the ages of nine (9) years and eighteen (18) years, inclusive, pursuant to § 5-19.1-2 to provide notification of a patient’s immunization to the patient’s primary care provider, if known, within fourteen (14) days of administration.
    2. The department of health’s rules and regulations shall include provisions to ensure that the administering pharmacist make a good-faith effort to obtain information relating to the identity of a patient’s primary care provider or primary care practice, for the purposes of fulfilling the reporting requirements of subsection (c)(1) herein. If a patient does not have an existing relationship with a primary care provider or primary care practice, the administering pharmacist shall proceed with the reporting requirements contained in subsection (b).

History of Section. P.L. 2011, ch. 91, § 2; P.L. 2011, ch. 109, § 2.

5-19.1-32. Limited-function tests.

  1. Upon receiving consent from the patient, a pharmacist performing a limited-function test in accordance with this chapter shall report test results to the patient’s primary care practitioner, if known, within a reasonable period of time. In the event that a patient with an abnormal test result does not have an existing relationship with a primary care practitioner, the pharmacist shall make efforts to refer the patient to a primary care practitioner, practice, health center, or clinic.
    1. The pharmacy shall develop policies and procedures for emergency situations related to the provision of limited-function health tests, to include the prompt reporting of test results to a patient’s primary care practitioner, if known.
    2. The department shall promulgate rules and regulations to carry out the provisions of this section. The department’s rules and regulations may include the following:
      1. Requirements for the pharmacist to inform the patient that the limited-function test results are intended for informational and educational purposes, rather than diagnostic purposes; and
      2. Requirements ensuring appropriate temperature and environmental controls to maintain the efficacy of the limited-function test kit.

History of Section. P.L. 2015, ch. 157, § 3; P.L. 2015, ch. 182, § 3.

5-19.1-33. Partial fill of Schedule II controlled substance.

  1. A pharmacist may dispense a Schedule II controlled substance, as listed in § 21-28-2.08 , as a partial fill if requested by the patient or the prescriber.
  2. If a pharmacist dispenses a partial fill on a prescription pursuant to this section, the pharmacy shall retain the original prescription, with a notation of how much of the prescription has been filled, until the prescription has been fully dispensed. The total quantity dispensed shall not exceed the total quantity prescribed.
  3. Subsequent fills, until the original prescription is completely dispensed, shall occur at the pharmacy where the original prescription was partially filled. The full prescription shall be dispensed not more than thirty (30) days after the date on which the prescription was written. Thirty-one (31) days after the date on which the prescription was written, the prescription shall expire and no more of the drug shall be dispensed without a subsequent prescription.
  4. The pharmacist shall record in the prescription-drug-monitoring program, maintained by the department of health pursuant to § 21-28-3.18 , only the actual amounts of the drug dispensed.
  5. The pharmacist shall record the date and amount of each partial fill in a readily retrievable form and on the original prescription, and shall include the initials of the pharmacist who dispensed each partial fill.
  6. This section is not intended to conflict with or supersede any other requirement established for the prescription of a Schedule II controlled substance.
  7. For purposes of this section, the following definitions apply:
    1. “Original prescription” means the prescription presented by the patient to the pharmacy or submitted electronically to the pharmacy.
    2. “Partial fill” means a part of a prescription filled that is of a quantity less than the entire prescription.

History of Section. P.L. 2018, ch. 150, § 1; P.L. 2018, ch. 254, § 1.

5-19.1-34. Notice of warning regarding use of Schedule II controlled substances to be posted.

  1. The director of the department of health shall compile a list of at least the ten (10) most prescribed drugs containing opioids and/or other Schedule II controlled substances as listed in § 21-28-2.08 and forward it to the board of pharmacy which shall distribute that list to all pharmacies in the state. The list shall also contain warnings relating to the overuse, misuse, and mixing of those drugs with other drugs, specifically benzodiazepines, and/or alcohol, including, but not limited to, dependence, addiction, or death.
  2. Each pharmacy shall conspicuously display the list at or adjacent to the place in the pharmacy where prescriptions are presented for compounding and dispensing.
  3. The pharmacist shall also inform the patient that the pharmacist may dispense a partial fill of the prescription if requested by the patient and the procedure for other partial fills until the full prescription is dispensed within thirty (30) days of the date on which the prescription was written.

History of Section. P.L. 2019, ch. 93, § 1; P.L. 2019, ch. 128, § 1.

Compiler’s Notes.

P.L. 2019, ch. 93, § 1, and P.L. 2019, ch. 128, § 1 enacted identical versions of this section.

Effective Dates.

P.L. 2019, ch. 93, § 2, provides that this section takes effect on September 1, 2019.

P.L. 2019, ch. 128, § 2, provides that this section takes effect on September 1, 2019.

5-19.1-35. Audits.

  1. When an on-site audit of the records of a pharmacy is conducted by a carrier or its intermediary, the audit must be conducted in accordance with the following criteria:
    1. A finding of overpayment or underpayment must be based on the actual overpayment or underpayment, and not a projection based on the number of patients served having a similar diagnosis, or on the number of similar orders or refills for similar drugs, unless the projected overpayment or denial is a part of a settlement agreed to by the pharmacy or pharmacist;
    2. The auditor may not use extrapolation in calculating recoupments or penalties unless required by state or federal laws or regulations;
    3. Any audit that involves clinical judgment must be conducted by, or in consultation with, a pharmacist; and
    4. Each entity conducting an audit shall establish an appeal process under which a pharmacy may appeal an unfavorable preliminary audit report to the entity.
  2. This section does not apply to any audit, review, or investigation that is initiated based on or involving suspected or alleged fraud, willful misrepresentation, or abuse.
  3. Prior to an audit, the entity conducting an audit shall give the pharmacy fourteen (14) days advance written notice of the audit and the range of prescription numbers involved in the audit. The carrier or its intermediary may mask the last two digits of the numbers. Additionally, the number of prescriptions shall not exceed one hundred fifty (150) prescription claims and their applicable refills. The time allotted must be adequate to collect all samples. The examination of signature logs shall not exceed twenty-five (25) signature logs in number.
  4. A pharmacy has the right to execute the dispute resolution contained in their contract.
    1. A preliminary audit report must be delivered to the pharmacy or its corporate office within sixty (60) days after the conclusion of the audit. A pharmacy must be allowed at least thirty (30) days following receipt of the preliminary audit to provide documentation to address any discrepancy found in the audit. A final audit report must be delivered to the pharmacy or its corporate office within ninety (90) days after receipt of the preliminary audit report or final appeal, whichever is later. A charge-back recoupment or other penalty may not be assessed until the appeal process provided by the pharmacy benefits manager has been exhausted and the final report issued. If the identified discrepancy for a single audit exceeds twenty-five thousand dollars ($25,000), future payments in excess of that amount may be withheld pending the adjudication of an appeal. Auditors shall only have access to previous audit reports on a particular pharmacy conducted for the same entity.
    2. Auditors may initiate a desk audit prior to an on-site audit unless otherwise specified in the law.
    3. Contracted auditors cannot be paid based on the findings within an audit.
    4. Scanned images of all prescriptions including all scheduled controlled substances are allowed to be used by the pharmacist for an audit. Verbally received prescriptions must be accepted upon validation by the auditing entity and applicable for the initial desk or on-site audit.
    5. The period covered by an audit may not exceed two (2) years.
    6. Within five (5) business days of receiving the audit notification, pharmacies are allowed, at a minimum, one opportunity to reschedule with the auditor if the scheduled audit presents a scheduling conflict for the pharmacist.
  5. Any clerical error, typographical error, scrivener’s error, or computer error regarding a document or record required under the Medicaid program does not constitute a willful violation and is not subject to criminal penalties without proof of intent to commit fraud.
  6. Limitations.
    1. Exceptions.  The provisions of this chapter do not apply to an investigative audit of pharmacy records when:
      1. Fraud, waste, abuse, or other intentional misconduct is indicated by physical review or review of claims data or statements; or
      2. Other investigative methods indicate a pharmacy is or has been engaged in criminal wrongdoing, fraud, or other intentional or willful misrepresentation.
    2. Federal law.  This chapter does not supersede any audit requirements established by federal law.

History of Section. P.L. 2019, ch. 276, § 1; P.L. 2019, ch. 278, § 1.

Compiler’s Notes.

P.L. 2019, ch. 276, § 1, and P.L. 2019, ch. 278, § 1 enacted identical versions of this section.

Chapter 19.2 Collaborative Pharmacy Practice

5-19.2-1. Purpose.

The legislature finds that the practice of pharmacy is a learned profession. The sole legislative purpose for enacting this chapter is to ensure that every pharmacist practicing in the state and every pharmacy meet minimum requirements for safe practice. It is the legislative intent that pharmacists who fall below minimum competency or who otherwise present a danger to the public shall be prohibited from practicing in this state. The practice of pharmacy has evolved from a product-oriented profession to one that is based on patient outcomes through the provisions of pharmaceutical care. Contemporary pharmacy practice and the roles pharmacists are currently playing exceed the boundaries of traditional statutory definitions. The intent of this chapter is to promote relationships between the pharmacist, patient, and patient’s physician for the advancement of patient care. It is not to be construed or perceived as permitting or promoting the practice of pharmacy independent of the physician/patient relationship.

History of Section. P.L. 2001, ch. 68, § 1.

5-19.2-2. Definitions.

  1. “Collaborative pharmacy practice” is that practice of pharmacy whereby one or more licensed pharmacist(s), with advanced training and experience relevant to the scope of collaborative practice, agrees to work in collaboration with one or more physicians for the purpose of drug therapy management of patients, such management to be pursuant to a protocol or protocols authorized by the physician(s) and subject to conditions and limitations as set forth by the department. A healthcare professional who has prescribing privileges and is employed by a collaborating physician may be in such an agreement.
  2. “Collaborative practice agreement” is a written and signed agreement, entered into voluntarily, between one or more licensed pharmacist(s), with advanced training and experience relevant to the scope of collaborative practice, and one or more physicians that defines the collaborative pharmacy practice in which the pharmacist(s) and physician(s) propose to engage. Collaborative practice agreements shall be made in the best interest of public health.
  3. “Collaborative practice committee” shall consist of six (6) individuals: three (3) individuals to be appointed by the board of pharmacy from nominees provided by the Rhode Island Pharmacists Association and three (3) individuals to be appointed by the board of medical licensure and discipline from nominees provided by the Rhode Island Medical Society. The collaborative practice committee shall advise the director on all issues pertinent to the regulation of collaborative practice agreements.
  4. “Drug therapy management” means the review, in accordance with a collaborative practice agreement, of drug therapy regimen or regimens of patients by one or more licensed pharmacist(s) for the purpose of initiating, adjusting, monitoring, or discontinuing the regimen. Decisions involving drug therapy management shall be made in the best interests of the patient. In accordance with a collaborative practice agreement, drug therapy management may include:
    1. Initiating, adjusting, monitoring, or discontinuing drug therapy;
    2. Collecting and reviewing patient histories;
    3. Obtaining and checking vital signs, including pulse, height, weight, temperature, blood pressure, and respiration; and
    4. Under the supervision of, or in direct consultation with, one or more physician(s), ordering and evaluating the results of laboratory tests directly related to drug therapy when performed in accordance with approved protocols applicable to the practice setting and providing such evaluation does not include any diagnostic component.
  5. “Limited-function test” means those tests listed in the federal register under the Clinical Laboratory Improvement Amendments of 1988 (CLIA) as waived tests. For the purposes of this chapter, limited-function test shall include only the following: blood glucose, hemoglobin A1c, cholesterol tests, and/or other tests that are classified as waived under CLIA and are approved by the United States Food and Drug Administration for sale to the public without a prescription in the form of an over-the-counter test kit.
  6. “Pharmacist with advanced training and experience relevant to the scope of collaborative practice” means a licensed pharmacist in this state with a bachelor of science in pharmacy and postgraduate educational training or a doctor of pharmacy degree. Such training shall include, but not be limited to, residency training; board certification; certification from an accredited professional organization educational institution; or any other continuing education provider approved by the director of health relevant to the proposed scope of the collaborative practice agreement.
  7. “Practice of pharmacy” means the interpretation, evaluation, and implementation of medical orders, including the performance of clinical laboratory tests, provided such testing is limited to limited-function tests as defined herein; the dispensing of prescription drug orders; participation in drug and device selection; drug regimen reviews and drug or drug-related research; provision of patient counseling and the provision of those acts or services necessary to provide pharmaceutical care; drug therapy management pursuant to a collaborative practice agreement; and the responsibility for the supervision for compounding and labeling of drugs and devices (except labeling by a manufacturer, repackager, or distributor of nonprescription drugs and commercially packaged legend drugs and devices); proper and safe storage of drugs and devices; and maintenance of proper records for them.

History of Section. P.L. 2001, ch. 68, § 1; P.L. 2015, ch. 157, § 2; P.L. 2015, ch. 182, § 2; P.L. 2016, ch. 64, § 1; P.L. 2016, ch. 72, § 1; P.L. 2019, ch. 308, art. 1, § 9.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-19.2-3. Collaborative pharmacy practice.

  1. A pharmacist may engage in collaborative pharmacy practice pursuant to a collaborative practice agreement in accordance with provisions of this chapter or other applicable sections of the regulations. Any pharmacist or physician desiring to engage in collaborate pharmacy practice shall execute a collaborative practice agreement in accordance with regulations promulgated by the department. Each collaborative practice agreement shall set forth at least the following: (1) Site and setting where the collaborative practice is to take place; (2) Informed consent procedures; (3) Qualifications of participating pharmacists and physicians; (4) The role of any employed healthcare professional with prescriptive privileges participating in the collaborative practice; (5) Scope of conditions or diseases to be managed; (6) Practice protocols; (7) Risk management activities; and (8) Outcomes measurements. Each collaborative practice agreement shall be subject to review and renewal on a biennial basis.
  2. Any pharmacist or physician who deviates from, or practices in a manner inconsistent with, the terms of a collaborative practice agreement shall be in violation of this chapter; such shall constitute grounds for disciplinary action pursuant to this chapter. There shall be no civil liability on the part of, or cause of action of any nature against, a physician or a physician’s agents or employees for participation in collaborative pharmacy practice as the result of negligence or fault on the part of the pharmacist participating in such collaborative practice agreement.

History of Section. P.L. 2001, ch. 68, § 1; P.L. 2009, ch. 310, § 26; P.L. 2016, ch. 64, § 1; P.L. 2016, ch. 72, § 1.

5-19.2-4. Collaborative practice in Rhode Island licensed hospitals.

Nothing in this chapter shall be construed to prohibit hospital pharmacists from participating in drug therapy management by protocol approved by the president of the hospital medical staff and the director of pharmacy for the care and treatment of patients.

History of Section. P.L. 2001, ch. 68, § 1.

5-19.2-5. Immunity.

The director of health, board members, the collaborative practice committee, and their agents and employees shall be immune from suit in any action, civil or criminal, based on any disciplinary proceeding or other official act performed in good faith in the course of their duties under this chapter. There shall be no civil liability on the part of, or cause of action of any nature against, the board, director, their agents or their employees or against any organization or its members, peer-review board or its members, or other witnesses and parties to board proceedings for any statements made in good faith by them in any reports, communications, or testimony concerning an investigation by the board of the conduct or competence of any licensee under this chapter.

History of Section. P.L. 2001, ch. 68, § 1.

Chapter 20 Plumbers, Irrigators, and Water System Installers

5-20-1. Short title.

This chapter is designated as the “Rhode Island Plumbing License Law.”

History of Section. P.L. 1945, ch. 1661, § 34; G.L. 1956, § 5-20-1 .

Cross References.

Residential water filtration system contractors and installers, see § 5-65.2-1 et seq.

Comparative Legislation.

Plumbers:

Conn. Gen. Stat. § 20-330 et seq.

Mass. Ann. Laws ch. 142, § 1 et seq.

Collateral References.

Recovery back of money paid to unlicensed person required by law to have occupational or business license or permit to make contract. 74 A.L.R.3d 637.

5-20-2. “Plumbing” and “source of water” defined.

As used in this chapter:

  1. “Plumbing” means:
    1. All fittings, fixtures, appliances, and connections that are located within a building or a structure, or within five feet (5´) of the outer walls of a building or structure and that connect said building or structure, where a person or persons live, work, or assemble, with the source of public or private water supply used or intended for domestic or personal use, as well as any interconnecting piping between buildings or structures;
    2. All piping, fittings, fixtures, and appliances for a sanitary drainage and related ventilation system, direct or indirect, within that building; and
    3. Air piping, medical, and laboratory gas systems including, but not limited to, oxygen and nitrous oxide.
  2. “Source of private water supply” means the water connection located at the mean water level.
  3. “Source of public water supply” means any water connection located within five feet (5´) of the outer walls of or within a building or structure, including any interconnecting piping between buildings or structures.

History of Section. P.L. 1945, ch. 1661, § 1; G.L. 1956, § 5-20-2 ; R.P.L. 1957, ch. 116, § 1; P.L. 1987, ch. 496, § 1; P.L. 2004, ch. 135, § 1; P.L. 2004, ch. 174, § 1; P.L. 2009, ch. 310, § 27.

Collateral References.

Fixtures, appliances, accessories, pipes, or other articles connected with plumbing as. 52 A.L.R.2d 222.

What constitutes plumbing or plumbing work within statute or ordinance requiring license or otherwise regulating plumbers or plumbing work. 125 A.L.R. 718.

5-20-3. “Master plumber” defined.

  1. “Master plumber,” as used in this chapter, means any person who, as an independent contractor, engages in this state in the business of installation, maintenance, or repair of plumbing in the building or upon the premises where that plumbing, as defined in § 5-20-2 , is or is to be located, either by contract or agreement with the owner, lessee, tenant, or agent of those premises or building, or who employs one or more journeyperson plumbers, one or more plumber’s apprentices or other persons to assist in that installation, maintenance, or repair work or who performs any acts specified in this chapter for performance by a “master plumber.”
  2. A person holding a valid master plumbers license under this chapter shall not be required to obtain an additional license under this chapter to perform master irrigation work or master water-filtration/treatment-system work.

History of Section. P.L. 1945, ch. 1661, § 2; G.L. 1956, § 5-20-3 ; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

5-20-3.1. “Master irrigator” defined.

“Master irrigator,” as used in this chapter, means a person who has performed in the capacity of a journeyperson irrigator as defined in § 5-20-5.1 for not less than two (2) years.

History of Section. P.L. 2001, ch. 214, § 3.

5-20-3.2. “Master water-filtration/treatment-system installer” defined.

“Master water-filtration/treatment-system installer,” as used in this chapter, means a person who has performed in the capacity of a journeyperson water-filtration/treatment-system installer as defined in § 5-20-3.3 for not less than one year.

History of Section. P.L. 2016, ch. 26, § 2; P.L. 2016, ch. 31, § 2.

5-20-3.3. “Journeyperson water-filtration/treatment-system installer” defined.

“Journeyperson water-filtration/treatment-system installer,” as used in this chapter, means a person who has performed all phases of a project under the supervision of a master water-filtration/treatment-system installer licensee for a period of not less than one year. Journeypersons shall not be permitted to apply for a water-filtration/treatment-system installation permit.

History of Section. P.L. 2016, ch. 26, § 2; P.L. 2016, ch. 31, § 2.

5-20-4. “Journeyperson plumber” defined.

  1. “Journeyperson plumber,” as used in this chapter, means any employee, except an apprentice plumber as subsequently defined, whose principal occupation is the installation, maintenance, or repair of plumbing, as defined in § 5-20-2 .
  2. A person holding a valid journeyperson license under this chapter shall not be required to obtain an additional license under this chapter to perform journeyperson irrigation work or master water-filtration/treatment-system work.

History of Section. P.L. 1945, ch. 1661, § 3; G.L. 1956, § 5-20-4 ; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

5-20-4.1. “Apprentice irrigator” defined.

“Apprentice irrigator,” as used in this chapter, means a person hired to perform all phases of an irrigation project under the supervision of a master irrigation licensee or a licensed journeyperson irrigator for a period of one year.

History of Section. P.L. 2001, ch. 214, § 3.

5-20-4.2. “Apprentice water-filtration/treatment-system installer” defined.

“Apprentice water-filtration/treatment-system installer,” as used in this chapter, means a person hired to perform all phases of a water-filtration/treatment-system project under the supervision of a master water-filtration/treatment-system installer licensee or a licensed journeyperson water-filtration/treatment-system installer for a period of one year.

History of Section. P.L. 2016, ch. 26, § 2; P.L. 2016, ch. 31, § 2.

5-20-5. “Apprentice plumber” defined.

“Apprentice plumber,” as used in this chapter, means any employee, whose principal occupation is service with a master plumber with a view to learning the art or trade of maintenance, installation, or repair of plumbing, as defined in § 5-20-2 .

History of Section. P.L. 1945, ch. 1661, § 4; G.L. 1956, § 5-20-5 .

5-20-5.1. “Journeyperson irrigator” defined.

“Journeyperson irrigator,” as used in this chapter, means a person who has performed all phases of a project under the supervision of a master irrigation licensee for a period of not less than one year. Journeypersons shall not be permitted to apply for an irrigation permit.

History of Section. P.L. 2001, ch. 214, § 3.

5-20-5.2. “Commercial water-filtration/treatment-system work” defined.

“Commercial water-filtration/treatment-system work,” as used in this chapter, means any alteration, installation or repair of water-filtration/treatment systems in which the piping exceeds one and one-half inches (1.5") or the flow rate exceeds eighty (80) gallons per minute.

History of Section. P.L. 2016, ch. 26, § 2; P.L. 2016, ch. 31, § 2.

5-20-6. Board of examiners — Composition — Appointment of members.

  1. A state board of plumbing examiners is created in the department of labor and training whose duty it is to supervise the operation of the division of professional regulation in an advisory capacity in promulgating any policy that is necessary to improve the operation of the division in their area of expertise. The promulgation of that policy is subject to the approval of the director of the department.
    1. The board shall consist of nine (9) members:
      1. One shall be the director of labor and training, or his or her designee ex officio who shall be a nonvoting member;
      2. One of whom shall be a licensed plumber appointed by the director of labor and training possessing at the time of appointment, for a period of five (5) years, a certificate of license in full force and effect from the department of labor and training, under the provisions of this chapter, specifying that person as a licensed master or journeyperson plumber;
      3. Three (3) shall be master plumbers possessing at the time of appointment, for a period of five (5) years, a certificate of license in full force and effect from the department of labor and training, under the provisions of this chapter, specifying those persons as master plumbers;
      4. Three (3) shall be journeyperson plumbers possessing at the time of appointment, for a period of ten (10) years, a certificate of license in full force and effect from the department of labor and training, under the provisions of this chapter, specifying those persons as journeyperson plumbers; and
      5. One shall be a master irrigator who, at the time of appointment, shall be duly certified as such by the department of labor and training for a period of not less than two (2) years.
    2. All of the members of the board must be citizens of this state for at least two (2) years immediately preceding their appointment. The board shall elect from its membership a chairperson, deputy chairperson, and secretary. The members of the board, except the ex officio members, shall be appointed as subsequently provided.
  2. The provisions of subsection (b) of this section are applicable only to appointments made by the governor after May 16, 1966.
  3. On the expiration of the term of any master plumber member, journeyperson plumber member, or master irrigator member of the board, the governor shall appoint for a term of three (3) years a master plumber member and a journeyperson plumber member having the qualifications required by this chapter to take the place of the master plumber member and the journeyperson plumber member whose term on the board has expired. That member shall hold office until the expiration of the term for which the member is appointed and until his or her successor has been appointed and qualified. Any vacancy that occurs in the master plumber members, journeyperson plumber members, or master irrigator member of the board from any cause shall be filled by appointment by the governor for the remainder of the unexpired term of that member.

History of Section. P.L. 1945, ch. 1661, § 10; G.L. 1956, § 5-20-6 ; P.L. 1966, ch. 160, § 1; P.L. 1977, ch. 230, § 1; P.L. 1978, ch. 172, § 1; P.L. 1985, ch. 181, art. 54, § 1; P.L. 1986, ch. 338, § 1; P.L. 1999, ch. 115, § 1; P.L. 2000, ch. 425, § 1; P.L. 2001, ch. 214, § 2; P.L. 2002, ch. 378, § 1; P.L. 2005, ch. 102, § 1.

Cross References.

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

5-20-7. [Repealed.]

History of Section. P.L. 1945, ch. 1661, § 12; P.L. 1948, ch. 2136, § 1; G.L. 1956, § 5-20-7 ; P.L. 1972, ch. 268, § 1; P.L. 1973, ch. 141, § 1; P.L. 1977, ch. 231, § 1; P.L. 1985, ch. 181, art. 54, § 1; P.L. 1995, ch. 370, art. 40, § 10; Repealed by P.L. 2003, ch. 202, § 2, effective July 11, 2003; P.L. 2003, ch. 426, § 2, August 6, 2003.

Compiler’s Notes.

Former § 5-20-7 concerned compensation for members of the state board of plumbing examiners.

5-20-8. Practices for which master’s license required.

No person shall engage in this state in the business of plumbing as a master plumber, or irrigation as a master irrigator, or commercial water-filtration/treatment work as a master water-filtration/treatment-system installer; or as an employer of a journeyperson plumber, journeyperson irrigator, journeyperson water-filtration/treatment-system installer or plumber’s apprentice, or apprentice irrigator, or apprentice water-filtration/treatment-system installer; or enter into contracts or agreements for the installation, maintenance, or repair of plumbing or irrigation systems or water-filtration/treatment systems; or perform any of the acts specified in this chapter for performance by a master plumber, master irrigator, or master water-filtration/treatment-system installer; or advertise or represent in any form or manner that they are a master plumber, master irrigator, or master water-filtration/treatment-system installer; or that they will install plumbing, irrigation systems, or commercial water-filtration/treatment systems, unless that person possesses a certificate of license in full force and effect from the department of labor and training specifying that person as a master plumber, master irrigator, or master water-filtration/treatment-system installer. That person shall carry the certificate on their person at all times while so engaged, and shall affix their plumber’s license number or master irrigator’s license number to any contract they execute or bid filed with any person for their professional services and to any applicable permit required for the performance of those services.

History of Section. P.L. 1945, ch. 1661, § 5; G.L. 1956, § 5-20-8 ; R.P.L. 1957, ch. 116, § 2; P.L. 1978, ch. 172, § 1; P.L. 1993, ch. 149, § 2; P.L. 1999, ch. 115, § 1; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

NOTES TO DECISIONS

Contracts for Plumbing.

Journeyman plumber and master plumber could recover for work performed for defendant where defendant knew that master plumber had secured a permit and was working on the job with the journeyman plumber. Boutier v. Abrahamson, 81 R.I. 365 , 103 A.2d 358, 1954 R.I. LEXIS 94 (1954).

Pleading Statute.

In suit to recover under plumbing contract, violation of this section could be proved under the general issue. Boutier v. Abrahamson, 81 R.I. 365 , 103 A.2d 358, 1954 R.I. LEXIS 94 (1954).

Collateral References.

Failure to procure license as affecting validity of contract. 30 A.L.R. 887; 42 A.L.R. 1226; 118 A.L.R. 646.

Plumbers, validity of license regulations as to. 22 A.L.R.2d 816.

5-20-9. Acts for which journeyperson’s license required.

No person shall engage to work as a journeyperson plumber, journeyperson irrigator, journeyperson water-filtration/treatment-system installer or represent in any form or manner that he or she is a journeyperson plumber, journeyperson irrigator, journeyperson water-filtration/treatment-system installer, unless that person possesses and carries on his or her person at all times while engaged, a certificate of license in full force and effect from the department of labor and training specifying that person as a journeyperson plumber, journeyperson irrigator, or journeyperson water-filtration/treatment-system installer employed by the properly licensed master-permit holder.

History of Section. P.L. 1945, ch. 1661, § 5; G.L. 1956, § 5-20-9 ; R.P.L. 1957, ch. 116, § 2; P.L. 1978, ch. 172, § 1; P.L. 1999, ch. 115, § 1; P.L. 2001, ch. 214, § 2; P.L. 2002, ch. 378, § 1; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

Collateral References.

Failure to procure license as affecting validity of contract. 30 A.L.R. 887; 42 A.L.R. 1226; 118 A.L.R. 646.

Plumbers, validity of license regulations as to. 22 A.L.R.2d 816.

5-20-10. Work for which apprentice certificate required.

No person shall engage to work as an apprentice plumber, unless that person possesses and carries on his or her person at all times while engaged, a certificate of registration in full force and effect from the department of labor and training specifying that person as an apprentice plumber, an apprentice irrigator, or an apprentice water-filtration/treatment-system installer.

History of Section. P.L. 1945, ch. 1661, § 5; G.L. 1956, § 5-20-10 ; R.P.L. 1957, ch. 116, § 2; P.L. 1999, ch. 115, § 1; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

Collateral References.

Failure to procure license as affecting validity of contract. 30 A.L.R. 887; 42 A.L.R. 1226; 118 A.L.R. 646.

Plumbers, validity of license regulations as to. 22 A.L.R.2d 816.

5-20-11. [Repealed.]

History of Section. P.L. 1945, ch. 1661, § 8; G.L. 1956, § 5-20-11 ; P.L. 1978, ch. 172, § 1; P.L. 1999, ch. 115, § 1; Repealed by P.L. 2014, ch. 194, § 2, effective January 1, 2015; P.L. 2014, ch. 212, § 2, effective January 1, 2015.

Compiler’s Notes.

Former § 5-20-11 concerned licensing of drainlayers and installers.

5-20-12. Corporations and firms engaging in business.

  1. No corporation, firm, association, partnership, or other entity shall engage in business, advertise, make application for and take out permits, bid for work, or represent itself as a master plumber, a master irrigator, or master water-filtration/treatment-system installer unless:
    1. A licensed master plumber, as provided in this chapter, shall be continuously engaged in the supervision of the entity’s plumbing installation, irrigation installation, commercial water-filtration/treatment-system installation, maintenance, and repair work and the licensed master is an officer of the corporation, a partner in the partnership, or a similarly authorized principal of any firm, association, or other entity; or
    2. The entity possesses a valid plumbing contractor’s license, master irrigator’s license, or master water-filtration/treatment-system installer’s license duly issued by the department of labor and training as described in subsection (b) of this section.
  2. Upon application of any of the entities listed in subsection (a) of this section in form and substance prescribed by the department of labor and training, and receipt of the fee for the application and license, which shall be equal to the fee for a master plumber’s license, master irrigator’s license, or master water-filtration/treatment-system installer’s license as described in § 5-20-16 , the department of labor and training shall issue the applicant entity a license as a plumbing contractor, irrigation contractor, or commercial water-filtration/treatment-system contractor. The plumbing contractor’s, irrigation contractor’s, or commercial water-filtration/treatment-system contractor’s license shall specify the name of the entity holding the license and shall state that the license holder shall:
    1. Have a licensed contractor master plumber, as that term is defined in § 5-20-12.1 , who is continuously engaged in the supervision of the entity’s plumbing installation, maintenance, and repair work and who is an officer of the corporation, a partner in the partnership, or a similarly authorized principal of any firm, association, or other entity; or
    2. Continuously employ at all times, while holding the license, a duly licensed master plumber, master irrigator, or master water-filtration/treatment-system installer as provided in this chapter, who is continuously engaged in the supervision of the entity’s plumbing installation, irrigation installation, commercial water-filtration/treatment-system installation, maintenance, and repair work. The plumbing contractor’s, master irrigator’s, and water-filtration/treatment-system installer’s license shall entitle the entity holding the license to engage in business, advertise, bid for work, or represent itself as a master plumber, master irrigator, and master water-filtration/treatment-system installer or a plumbing contractor and shall also entitle the entity to make application for and take out permits through its duly authorized officer or similarly authorized principal, as well as through the duly licensed contractor master as described in this section, or the duly licensed master plumber, master irrigator, or master water-filtration/treatment-system installer continuously employed by the entity as stated in this section, as the case may be. The contractor’s license shall not, in and of itself, permit a principal, officer, employee, or agent of the entity holding the license to individually engage in installation, maintenance, or repair work as described above unless that principal, officer, employee, or agent is individually licensed so to do.
  3. Any work engaged in, advertised for, applied for by permit, bid for, or represented to be permissible shall be solely of the type for which the licensed master plumber, master irrigator, or master water-filtration/treatment-system installer who serves as an officer, or similarly authorized principal, of the entity or who is continuously employed by the entity holding a plumbing contractor’s license, irrigation contractor’s, or commercial water-filtration/treatment-system contractor’s license, is duly licensed to perform.
  4. Any licensed master plumber, master irrigator, or master water-filtration/treatment-system installer who serves as an officer, or similarly authorized principal of this type of entity, or who is continuously employed by an entity holding a plumbing, irrigation, or commercial water-filtration/treatment-system contractor’s license shall represent the interests of one such entity and only one such entity at any given time as described in this section.
  5. In the event that the licensed master plumber, master irrigator, or master water-filtration/treatment-system installer described in this section ceases to be an officer or similarly authorized principal of one of the entities described in this section, or ceases to be continuously employed by an entity holding a plumbing contractor’s license for any reason whatsoever, the entity shall provide written notice of the cessation to the department of health no more than fourteen (14) days after the effective date of occurrence of the cessation. Any entity so affected shall provide written notice of the cessation to the department of labor and training specifying the licensed master plumber, master irrigator, or master water-filtration/treatment-system installer who is replacing the departed licensed master plumber referenced in this section no more than forty-five (45) days after the effective date of occurrence of the cessation.
  6. No corporation, firm, association, partnership, or other entity that engages in, offers to engage in, or represents that it engages in plumbing installation, irrigation system installation, or commercial water-filtration/treatment-system maintenance or repair work in the state of Rhode Island is permitted to incorporate, form, qualify to do business, or otherwise register with the Rhode Island secretary of state’s office until and unless that office has first received a written confirmation from the department of labor and training that all requisite licenses to be issued by the department of labor and training have been so issued and remain in good standing.
  7. Any willful violation of this section is grounds for revocation of license as further described in § 5-20-27 .

History of Section. P.L. 1945, ch. 1661, § 9; G.L. 1956, § 5-20-12 ; P.L. 1978, ch. 172, § 1; P.L. 2000, ch. 333, § 1; P.L. 2000, ch. 433, § 1; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1; P.L. 2019, ch. 308, art. 1, § 10.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-20-12.1. Issuance of contractor master license.

  1. There is created a class of license that shall be known as a contractor master plumber. This license does not, in and of itself, permit any holder of a license to individually engage in installation, maintenance, or repair as described in this chapter, but may instead only be used in conjunction with a contractor’s license as described in § 5-20-12 .
  2. No application for a license of a contractor master plumber shall be filed with the department of labor and training, nor shall any applicant be permitted to take the examination for a license, unless:
    1. The applicant possesses the requisite skill, expertise, education, experience, training, and other qualities or qualifications to take an examination as the department of labor and training, by the promulgation of regulations, may require; and
    2. The application is accompanied by a test fee, which equals the fee for a master plumber as outlined in § 5-20-16 .
  3. Upon passage of the contractor master examination as prepared and administered by the department of labor and training upon recommendation and advice of the board, payment of a license fee which equals the fee for a master plumber as outlined in § 5-20-23 shall be required and the contractor master license shall be issued as provided in § 5-20-21 .
  4. Applications must be filed with the department of labor and training at least fifteen (15) days prior to the examination date.

History of Section. P.L. 2000, ch. 333, § 2; P.L. 2004, ch. 6, § 7; P.L. 2019, ch. 308, art. 1, § 10.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-20-13. Functions of board of examiners.

The state board of plumbing examiners shall aid and cooperate with the director of the department of labor and training and the division of professional regulation:

  1. In preparing forms for application for examinations for license;
  2. In preparing subject matter, questions, and all necessary items for examination as provided in this chapter and in reviewing examinations to evaluate their effectiveness;
  3. In preparation of rules to govern examinations and hearings for revocation and reinstatement of licenses;
  4. In the performance of any other duties for the purpose of carrying out the provisions of this chapter that are prescribed by the director of the department of labor and training; and
  5. In the adoption and revision of any rules and regulations not inconsistent with the law that are necessary to carry into effect the provisions of this chapter.

History of Section. P.L. 1945, ch. 1661, § 11; G.L. 1956, § 5-20-13 ; P.L. 1978, ch. 172, § 1; P.L. 1985, ch. 181, art. 54, § 1; P.L. 1999, ch. 115, § 1.

5-20-14. Duties of director.

The director of the department of labor and training shall:

  1. Prepare license certificates and issue them in conformity with this chapter;
  2. Maintain an up-to-date record specifying the names and addresses of licensed master plumbers and journeyperson plumbers or master irrigators or journeyperson irrigators or master water-filtration/treatment-system installers or journeyperson water-filtration/treatment-system installers of this state. That record shall show dates of issuance of licenses and shall be open to public inspection. Those records shall also show dates of filing of complaints and the nature of those complaints for revocation of license and the date of, as well as the final order upon, those complaints; and
  3. Prescribe standards for what constitutes a recognized college or university, and determine the conformance to those standards.

History of Section. P.L. 1945, ch. 1661, § 13; G.L. 1956, § 5-20-14 ; P.L. 1977, ch. 231, § 1; P.L. 1999, ch. 115, § 1; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

5-20-14.1. Grandfathering — Licensing of irrigation masters, irrigation journeypersons, water-filtration/treatment-system masters, and water-filtration/treatment-system journeypersons without examination.

  1. After July 13, 2001, and at any time prior to the expiration of twelve (12) months following July 13, 2001, the authority shall, without examination, upon payment of the fees required in this chapter, issue through the department of labor and training, division of professional regulation, a master irrigation license or a journeyperson irrigation license to any applicant who shall present satisfactory evidence that he or she has the qualifications for the type of license applied for. Thereafter, in order to qualify for a master irrigation license after the initial “grandfather” window, the eligible contractor shall be required to pass a written examination and show the proof contained in this section of his or her eligibility.
  2. Prior to January 1, 2018, the authority shall, without examination, upon payment of the fees required in this chapter, issue through the department of labor and training, division of professional regulation, a master water-filtration/treatment-system installer license or a journeyperson water-filtration/treatment-system installer license to any applicant who shall present satisfactory evidence that they have the qualifications for the type of license applied for. After January 1, 2018, in order to qualify for a master water-filtration/treatment-system installer license or a journeyperson water-filtration/treatment-system installer license, the eligible individual shall be required to pass a written examination and show the proof contained in this subsection of their eligibility.
  3. Satisfactory evidence shall be any of the following that is applicable:
    1. [Deleted by P.L. 2016, ch. 26, § 1 and P.L. 2016, ch. 31, § 1].
    2. [Deleted by P.L. 2016, ch. 26, § 1 and P.L. 2016, ch. 31, § 1].
    3. [Deleted by P.L. 2016, ch. 26, § 1 and P.L. 2016, ch. 31, § 1].
    4. The contractor has been incorporated or has been registered to do business with the state of Rhode Island for the past three (3) years designating irrigation or installing water-filtration/treatment systems as a provided service; or
    5. The installer has been employed for the past three (3) years by a contractor that has been incorporated or registered to do business with the state of Rhode Island designating water-filtration/treatment-system installation as a provided service; or
    6. Notarized confirmation by three (3) irrigation or water-filtration/treatment-system contractors.

History of Section. P.L. 2001, ch. 214, § 3; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1; P.L. 2019, ch. 308, art. 1, § 10.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-20-15. Applications for licenses.

Any applicant for a license as a master plumber, master irrigator, journeyperson plumber, journeyperson irrigator, master water-filtration/treatment-system installer, journeyperson water-filtration/treatment-system installer or an apprentice plumber, apprentice irrigator, or apprentice water-filtration/treatment-system installer in this state shall present his or her application to the department of labor and training on the printed form provided for that purpose.

History of Section. P.L. 1945, ch. 1661, § 14; G.L. 1956, § 5-20-15 ; P.L. 1978, ch. 172, § 1; P.L. 1999, ch. 115, § 1; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

5-20-16. Qualifications of master plumber, master irrigator or master water-filtration/treatment-system installer — Application fee.

  1. No application for a license of a master plumber, master irrigator, or master water-filtration/treatment-system installer shall be filed by the department of labor and training, nor is any applicant permitted to take the examination for a license as a master plumber, master irrigator, or master water-filtration/treatment-system installer unless:
    1. The application is accompanied by a nonrefundable application fee of seventy-five dollars ($75.00), payable to the department;
    2. The applicant is a citizen or legal resident of the United States; and
    3. The applicant possesses a certificate of license in full force and effect from the department of labor and training specifying that person as a journeyperson plumber, journeyperson irrigator, or journeyperson water-filtration/treatment-system installer licensed as a journeyperson plumber or journeyperson irrigator, for a minimum of one year. An affidavit must accompany this application certifying that the applicant was employed by a licensed master plumber, master irrigator, or master water-filtration/treatment-system installer during that period in which the journeyperson plumber, journeyperson irrigator, or journeyperson water-filtration/treatment-system installer was so licensed. Completed applications must be filed with the department at least thirty (30) days prior to the examination date.
  2. Notwithstanding anything set forth in this section to the contrary, the prerequisites set forth in subsection (a) of this section may be waived, and the requirements of this section met, if the applicant submits evidence, in form and substance reasonably acceptable to the department of labor and training, that the applicant possesses the requisite skill, expertise, education, experience, training, and other qualities or qualifications to take the examination for a license as a master plumber, master irrigator, or master water-filtration/treatment-system installer.

History of Section. P.L. 1945, ch. 1661, § 14; G.L. 1956, § 5-20-16 ; R.P.L. 1957, ch. 116, § 3; P.L. 1960, ch. 76, § 9; P.L. 1966, ch. 160, § 2; P.L. 1974, ch. 155, § 1; P.L. 1978, ch. 172, § 1; P.L. 1980, ch. 182, § 1; P.L. 1981, ch. 132, § 1; P.L. 1986, ch. 389, § 1; P.L. 1996, ch. 164, § 2; P.L. 1999, ch. 115, § 1; P.L. 2000, ch. 433, § 1; P.L. 2001, ch. 214, § 2; P.L. 2004, ch. 595, art. 13, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

Collateral References.

Reasonableness of amount of license fee imposed on plumbers. 114 A.L.R. 573.

5-20-17. Qualifications of journeyperson — Application fee.

  1. No application for a journeyperson’s license shall be filed at the department of labor and training nor shall any applicant be permitted to take the examination for a license as a journeyperson plumber, unless:
    1. The application is accompanied by a nonrefundable application fee of seventy-five dollars ($75.00); and
    2. The applicant shall have possessed, for at least four (4) years prior to the filing of the application, a certificate of registration in full force and effect from the department of labor and training specifying that person as a registered apprentice plumber and the application of that applicant is accompanied with an affidavit or affidavits of his or her employer or former employers or other reasonably satisfactory evidence showing that the applicant has been actually engaged in plumbing work as an apprentice plumber in the state of Rhode Island for eight thousand (8,000) hours of on-the-job training during a five-year (5) period, which shall include the successful completion of five hundred seventy-six (576) hours of related instruction at a training program recognized by the department of labor and training; provided, however, the apprentice may receive credit for one hundred forty-four (144) hours of classroom training applied against the five hundred seventy-six (576) hours required pursuant to this section, gained in a vocational school authorized by the council on elementary and secondary education; and approved by the Rhode Island department of labor and training state apprenticeship council.
    3. The application is accompanied with an affidavit or other reasonably satisfactory evidence showing that the applicant has been a registered student in a recognized college, university, or trade school and has pursued a course of plumbing or sanitary engineering for at least two (2) academic years; or
    4. The applicant is the recipient of an associate degree in either plumbing or sanitary engineering, and has been registered by the department of labor and training as an apprentice plumber for at least two (2) years and at all times while being employed as a registered apprentice plumber by a duly licensed master plumber in this state for a period of two (2) years; or
    5. The application is accompanied by an affidavit or other reasonably satisfactory evidence showing that the applicant possesses a certificate of license, issued under the laws of another state, provided that the requirements are the same as the state specifying that person as a journeyperson plumber.
    6. The records of the hours of on-the-job training and the hours of related instruction should be maintained in a mutually responsible manner, through a joint effort on the part of the master plumber and the apprentice.
    7. The completed application is to be filed with the department at least fifteen (15) days prior to the examination date.

History of Section. P.L. 1945, ch. 1661, § 14; G.L. 1956, § 5-20-17 ; R.P.L. 1957, ch. 116, § 4; P.L. 1960, ch. 76, § 9; P.L. 1966, ch. 160, § 3; P.L. 1974, ch. 155, § 1; P.L. 1978, ch. 172, § 1; P.L. 1980, ch. 182, § 1; P.L. 1981, ch. 132, § 1; P.L. 1986, ch. 52, § 1; P.L. 1986, ch. 389, § 1; P.L. 1989, ch. 321, § 1; P.L. 1996, ch. 164, § 2; P.L. 1997, ch. 227, § 1; P.L. 1998, ch. 470, § 1; P.L. 1999, ch. 115, § 1; P.L. 2001, ch. 214, § 2; P.L. 2002, ch. 65, art. 13, § 4; P.L. 2002, ch. 378, § 1; P.L. 2003, ch. 427, § 1; P.L. 2004, ch. 595, art. 13, § 2; P.L. 2008, ch. 291, § 3; P.L. 2008, ch. 413, § 3; P.L. 2019, ch. 308, art. 1, § 10.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

Collateral References.

Reasonableness of amount of license fee imposed on plumbers. 114 A.L.R. 573.

5-20-17.1. Qualifications of journeyperson irrigator — Application fee.

No application for a journeyperson’s license shall be filed at the department of labor and training nor shall any applicant be permitted to take the examination for a license as a journeyperson irrigator unless:

  1. The application is accompanied with the nonrefundable application fee of seventy-five dollars ($75.00); and
  2. The applicant possesses a current apprentice certificate for a period of one year before application for journeyperson irrigator is made.

History of Section. P.L. 2001, ch. 214, § 3; P.L. 2002, ch. 65, art. 13, § 4; P.L. 2004, ch. 595, art. 13, § 2.

5-20-17.2. Qualifications of journeyperson water-filtration/treatment-system installer — Application fee.

No application for a journeyperson’s license shall be filed at the department of labor and training nor shall any applicant be permitted to take the examination for a license as a journeyperson water-filtration/treatment-system installer unless:

  1. The application is accompanied with the nonrefundable application fee of seventy-five dollars ($75.00); and
  2. The applicant possesses a current apprentice certificate for a period of one year before application for journeyperson water-filtration/treatment-system installer is made.

History of Section. P.L. 2016, ch. 26, § 2; P.L. 2016, ch. 31, § 2.

5-20-17.3. Applicability.

Any references to water-filtration/treatment-system work pursuant to § 5-20-1 et seq., shall be solely in reference to commercial water-filtration/treatment-system work as defined in § 5-20-5.2 . Nothing herein shall be applicable to residential water-filtration/treatment systems as defined in § 5-65.2-1 et seq.

History of Section. P.L. 2016, ch. 26, § 2; P.L. 2016, ch. 31, § 2.

5-20-18. [Repealed.]

History of Section. P.L. 1945, ch. 1661, § 17; G.L. 1956, § 5-20-18 ; P.L. 1999, ch. 115, § 1; P.L. 2001, ch. 214, § 2; Repealed by P.L. 2002, ch. 378, § 2, effective June 28, 2002.

Compiler’s Notes.

Former § 5-20-18 concerned master plumber’s and master irrigator’s bond.

5-20-19. Notice of change of address of licensee.

Any person who holds a certificate of license as a master plumber, master irrigator, master water-filtration/treatment-system installer, journeyperson plumber, journeyperson irrigator, journeyperson water-filtration/treatment-system installer or an apprentice plumber, apprentice irrigator, or apprentice water-filtration/treatment-system installer, shall notify the department of labor and training within thirty (30) days in the event of change of his or her address from the address specified on his or her certificate of license as a master plumber, master irrigator, master water-filtration/treatment-system installer, journeyperson plumber, journeyperson irrigator, journeyperson water-filtration/treatment-system installer or an apprentice plumber, or apprentice irrigator, or apprentice water-filtration/treatment-system installer.

History of Section. P.L. 1945, ch. 1661, § 18; G.L. 1956, § 5-20-19 ; P.L. 1978, ch. 172, § 1; P.L. 1999, ch. 115, § 1; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

5-20-20. Conduct of examinations.

The department of labor and training shall provide and conduct examinations at least three (3) times each year of applicants who have had their applications for a master plumber’s license, master irrigator’s license, or a journeyperson plumber’s or journeyperson irrigator’s license placed on file with the department. All those examinations shall be conducted by the department with the aid and cooperation of the state board of plumbing examiners and shall be conducted at places designated by the department within the state consistent with the reasonable convenience of applicants.

History of Section. P.L. 1945, ch. 1661, § 19; G.L. 1956, § 5-20-20 ; P.L. 1999, ch. 115, § 1; P.L. 2000, ch. 425, § 1; P.L. 2001, ch. 214, § 2.

5-20-21. Issuance of license on examination — Notice to applicants.

  1. The director of the department of labor and training shall allow or deny applications for a master plumber’s license, master irrigator’s license, master water-filtration/treatment-system installer’s license or a journeyperson plumber’s license, journeyperson irrigator’s license, or journeyperson water-filtration/treatment-system installer’s license upon the recommendation of the division of professional regulation, as soon after the examination as is practicable. Each applicant who has successfully passed the examination and has had his or her application allowed for a license as a master plumber, master irrigator, master water-filtration/treatment-system installer or a journeyperson plumber, journeyperson irrigator, or journeyperson water-filtration/treatment-system installer, shall have issued and mailed to him or her by the department a certificate of license specifying that person as a master plumber, master irrigator, master water-filtration/treatment-system installer, journeyperson plumber, journeyperson irrigator, or journeyperson water-filtration/treatment-system installer.
  2. All certificates of license are issued by the department.

History of Section. P.L. 1945, ch. 1661, § 20; G.L. 1956, § 5-20-21 ; R.P.L. 1957, ch. 116, § 5; P.L. 1985, ch. 181, art. 54, § 1; P.L. 1999, ch. 115, § 1; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

5-20-22. Reexamination of applicants — Appeal to board.

  1. Any applicant who fails in an examination for a license is permitted to take further examination upon payment for each examination of the prescribed fee in §§ 5-20-15 5-20-17 .
  2. Any applicant who fails to qualify may, within thirty (30) days after notification of his or her failure to qualify, appeal to the state board of plumbing examiners, in writing, requesting a review of the decision of the division of professional regulation in the first instance to the administrator of the division or his or her designee. A further appeal may then be taken. The state board of plumbing examiners shall set a date for an appointment and review the examination papers with the applicant. Examination papers shall be preserved in the division of professional regulation for at least three (3) months after the administration of the examination.

History of Section. P.L. 1945, ch. 1661, § 21; G.L. 1956, § 5-20-22 ; R.P.L. 1957, ch. 116, § 5; P.L. 1978, ch. 172, § 1; P.L. 1985, ch. 181, art. 54, § 1; P.L. 2001, ch. 214, § 2.

5-20-23. Expiration and renewal of licenses — Penalties for violation of section.

  1. All licenses issued by the division of professional regulation for master plumbers, master irrigators, and master water-filtration/treatment-system installers, and journeyperson plumbers, journeyperson irrigators, or journeyperson water-filtration/treatment-system installers born in odd years shall expire on the birthday of the individual qualifying for the license in odd years and all licenses of master plumbers, master irrigators, and master water-filtration/treatment-system installers and journeyperson plumbers, journeyperson irrigators, or journeyperson water-filtration/treatment-system installers born in even years shall expire on the birthday of the individual qualifying for the license in even years and all licenses may be renewed on or before their expiration date upon payment of the appropriate renewal fee.
  2. Any master plumber, master irrigator, or master water-filtration/treatment-system installer who fails to renew his or her license as provided in subsection (a) of this section may be reinstated by the department on or after the renewal date for a period of two (2) years, upon payment of the current biennial renewal fee of two hundred forty dollars ($240) plus outstanding license fees and a twelve dollar-per-month ($12.00) administrative assessment fee for the delinquency period.
  3. Every certificate of license of a journeyperson plumber, journeyperson irrigator, or journeyperson water-filtration/treatment-system installer issued by the department is renewed on or before the licensee’s second birthday following the date of issuance upon payment of a biennial renewal fee of seventy-two dollars ($72.00).
  4. Any journeyperson plumber, journeyperson irrigator, or journeyperson water-filtration/treatment-system installer who fails to renew his or her license as provided in subsection (a) of this section may be reinstated by the department on or after the renewal date for a period of two (2) years upon payment of the current biennial renewal fee of seventy-two dollars ($72.00) plus outstanding license fees and a twelve dollar-per-month ($12.00) administrative assessment fee for the delinquency period.
  5. Notwithstanding any other provisions of this chapter, any license issued under this chapter that is not renewed within two (2) years of the date of its expiration is deemed to be forfeited and the person to whom the license has been issued is required to make written application for an examination prior to the issuance of a new license.
  6. Licensed master or journeyperson plumbers shall attend and complete a course of continuing education at their expense as determined by the board of examiners, but not to exceed fifteen (15) hours, prior to the renewal or reinstatement of an existing license. The board of examiners shall promulgate rules and regulations necessary to carry out the provisions of this subsection, including, but not limited to, a continuing education course fee amount consistent with industry standard.
  7. Notwithstanding any provision of the general or public laws to the contrary, any licensed master or journeyperson plumber who has any combination of years of experience as a licensed master plumber or journeyperson plumber, and, years of age that, when combined, shall equal a total of eighty (80) years, shall be exempt from the continuing education requirements of subsection (f). The board of examiners shall promulgate rules and regulations necessary to carry out the provisions of this subsection.

History of Section. P.L. 1945, ch. 1661, § 22; G.L. 1956, § 5-20-23 ; R.P.L. 1957, ch. 116, § 5; P.L. 1978, ch. 172, § 1; P.L. 1980, ch. 182, § 1; P.L. 1983, ch. 253, § 6; P.L. 1993, ch. 138, art. 71, § 7; P.L. 1999, ch. 115, § 1; P.L. 2000, ch. 425, § 1; P.L. 2001, ch. 214, § 2; P.L. 2002, ch. 65, art. 13, § 4; P.L. 2004, ch. 6, § 7; P.L. 2009, ch. 257, § 1; P.L. 2009, ch. 258, § 1; P.L. 2015, ch. 252, § 1; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

Effective Dates.

P.L. 2009, ch. 257, § 6, provides that the amendment to this section by that act takes effect upon passage [November 12, 2009] and provides that for persons born in an even year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2010; for persons born in an odd year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2011.

P.L. 2009, ch. 258, § 6, provides that the amendment to this section by that act takes effect upon passage [November 13, 2009] and provides that for persons born in an even year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2010; for persons born in an odd year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2011.

Applicability.

P.L. 2015, ch. 252, § 2, provides that the amendment to this section by that act takes effect upon passage [July 15, 2015] and shall apply to all license renewals on or after January 1, 2016.

Cross References.

Veteran’s certificate, renewal on discharge, § 30-20-1 .

5-20-24. License displayed in place of business — Advertising.

  1. In every place in this state within and from which a plumbing, irrigation, or commercial water-filtration/treatment business is conducted as specified for a master plumber, master irrigator, or master water-filtration/treatment-system installer, there shall be on display at all times a certificate of license as provided in this chapter.
  2. Any sign, listing, or advertisement of any type of a master plumber, master irrigator, or master water-filtration/treatment-system installer shall contain his or her name, address, and license number. This information shall be included on all trucks used by a master plumber in connection with his or her business.

History of Section. P.L. 1945, ch. 1661, § 23; G.L. 1956, § 5-20-24 ; P.L. 1978, ch. 172, § 1; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

5-20-25. Registration of apprentices.

  1. Any person who has agreed to work a minimum of eight thousand (8,000) hours over a period of time of not less than five (5) years under the direct supervision and instruction of a master plumber or journeyperson plumber as an apprentice to learn the plumbing business, and that agreement is approved by the division of professional regulation, shall be registered by the director of the department of labor and training and have issued to him or her a certificate showing that person to be a registered apprentice.
  2. Any person who has agreed to work a minimum of two thousand (2,000) hours over a period of time of not less than one year under the direct supervision and instruction of a master irrigator or a journeyperson irrigator as an apprentice to learn the irrigation business, and that agreement is approved by the division of professional regulation, shall be registered by the director of the department of labor and training and have issued to him or her a certificate showing that person to be a registered apprentice.
  3. Any person who has agreed to work a minimum of two thousand (2,000) hours over a period of time of not less than one year, under the direct supervision and instruction of a master water-filtration/treatment-system installer or a journeyperson water-filtration/treatment-system installer, as an apprentice to learn the water-filtration/treatment business, and that agreement is approved by the division of professional regulation, shall be registered by the director of the department of labor and training and have issued to him or her a certificate showing that person to be a registered apprentice.

History of Section. P.L. 1945, ch. 1661, § 32; G.L. 1956, § 5-20-25 ; R.P.L. 1957, ch. 116, § 7; 1960, ch. 76, § 9; P.L. 1978, ch. 172, § 1; P.L. 1985, ch. 181, art. 54, § 1; P.L. 1989, ch. 321, § 1; P.L. 1997, ch. 227, § 1; P.L. 1999, ch. 115, § 1; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1; P.L. 2017, ch. 302, art. 13, § 2.

5-20-26. Municipal inspectors and installation permits.

Nothing contained in this chapter prohibits any city or town from providing for a plumbing inspector or from requiring permits for the installation and repair of plumbing or irrigation systems and collecting fees for the installation and repair of plumbing.

History of Section. P.L. 1945, ch. 1661, § 24; G.L. 1956, § 5-20-26 ; P.L. 2001, ch. 214, § 2.

5-20-27. Grounds for revocation of license.

The director of labor and training shall revoke the license of any master plumber, master irrigator, master water-filtration/treatment-system installer, or journeyperson plumber, journeyperson irrigator, or journeyperson water-filtration/treatment-system installer after a hearing when the weight of the evidence establishes any one or more of the following specific violations:

  1. For having obtained, or conspired with others to obtain, a license by inducing the issuance of that license in consideration of the payment of money or any other things of value, or by and through a willful or fraudulent misrepresentation of facts in the procurement of the license;
  2. Willful violation of any plumbing ordinance, or rules of any city or town, or of any law of this state regulating the conduct of plumbing, irrigation work, or commercial water-filtration/treatment-system work;
  3. On account of knowingly aiding or assisting any person to engage in the work specified for a master plumber, master irrigator, master water-filtration/treatment-system installer or journeyperson plumber, journeyperson irrigator, or journeyperson water-filtration/treatment-system installer when that person does not have a license as provided in this chapter;
  4. Because of any master plumber, master irrigator, master water-filtration/treatment-system-installer, or journeyperson plumber, journeyperson irrigator or journeyperson water-filtration/treatment-system installer willfully and fraudulently loaning his or her license to any other person for the purpose of permitting that person to engage in any plumbing, irrigation work, or commercial water-filtration/treatment-system work in violation of the provisions of this chapter;
  5. If any licensee, as provided in this chapter, is convicted of a felony; or
  6. On account of any willful violation of any of the provisions of this chapter.

History of Section. P.L. 1945, ch. 1661, § 25; G.L. 1956, § 5-20-27 ; P.L. 1999, ch. 115, § 1; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

5-20-28. Procedure for revocation of license.

  1. No proceedings to revoke a license, as provided in this section, shall be instituted unless filed with the department of labor and training within one year immediately following the date, or dates, of violation.
  2. No license of a master plumber, master irrigator, master water-filtration/treatment-system installer or journeyperson plumber, journeyperson irrigator, or journeyperson water-filtration/treatment-system installer shall be revoked or cancelled until after a full and impartial hearing as provided in this section.
  3. No hearing for the purpose of revoking any license of a master plumber, master irrigator, or master water-filtration/treatment-system installer, or journeyperson plumber, journeyperson irrigator, or journeyperson water-filtration/treatment-system installer shall be held unless there is first placed on file with the department a verified complaint, in writing, reciting in the complaint with reasonable particularity, a statement of facts which, if proved, would be sufficient to constitute a violation of one or more of the specifications for revocation of license as prescribed in § 5-20-27 .
  4. Upon the filing of a verified complaint, as provided in this section, the department shall promptly set a date for a hearing of the charges of the complaint which shall be held in the city of Providence. The department shall promptly, by registered or certified mail, forward to the licensee charged in the complaint a true and correct copy of the complaint and notification of the time and place when and where a hearing of those charges is to be held.
  5. At the time and place fixed in the notification, the division of professional regulation or upon appeal from the division, the board of plumbing examiners, upon supervision of the department, shall proceed to a hearing of the charges specified in the complaint. No hearing upon the charges of the complaint shall be had unless the records of the department contain evidence that the licensee charged in the complaint has been served with a copy of the complaint and notification at least twenty (20) days prior to the date of the hearing; provided, that the appearance of the charged licensee, either in his or her own behalf or by counsel, constitutes proof that sufficient notice of the hearing was served.
  6. A complaining party by himself or herself or by counsel may aid in the presentation of evidence toward sustaining the complaint. Ample opportunity shall be accorded for a hearing of all evidence and statement of counsel, either in support of or against, the charges of the complaint. Upon good cause shown the date of the hearing on the complaint may be continued provided the licensee and other interested parties are reasonably notified about the date of the continuance.

History of Section. P.L. 1945, ch. 1661, § 26; impl. am. P.L. 1956, ch. 3717, § 1; G.L. 1956, § 5-20-28 ; P.L. 1985, ch. 181, art. 54, § 1; P.L. 1999, ch. 115, § 1; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

5-20-29. Subpoena of witnesses.

The department of labor and training has power to subpoena and bring before it, the division of professional regulation, or the state board of plumbing examiners, any witness to take testimony, either orally or by deposition, or both, in any proceeding authorized by law.

History of Section. P.L. 1945, ch. 1661, § 27; G.L. 1956, § 5-20-29 ; P.L. 1985, ch. 181, art. 54, § 1; P.L. 1999, ch. 115, § 1; P.L. 2002, ch. 378, § 1.

5-20-30. Administration of oaths.

The director of the department of labor and training, the administrator of the division of professional regulation, and any members of the state board of plumbing examiners have power to administer oaths to witnesses at a hearing that the department is authorized by law to conduct and any other oaths authorized or administered by the department.

History of Section. P.L. 1945, ch. 1661, § 27; G.L. 1956, § 5-20-30 ; P.L. 1985, ch. 181, art. 54, § 1; P.L. 1999, ch. 115, § 1.

5-20-31. Recommendations of board — Order of director — Rehearing — Review.

Any person aggrieved by any decision or ruling of the division of professional regulation may appeal that decision to the administrator of the division or his or her designee. A further appeal may then be made to the state board of plumbing examiners. The state board of plumbing examiners, upon completion of any hearing held on a verified complaint, shall present to the director of labor and training a written report of its findings and recommendations. The director of the department shall then order that the license of the licensee charged in the complaint is revoked or that the complaint is dismissed in accordance with the recommendations of the board. A copy of that order shall be immediately served upon the licensee either personally or by registered or certified mail. The order of the department is final unless the charged licensee, the division, or complainant, within twenty (20) days after receipt of that order, files with the director his or her motion, in writing, for a review of the order by the director, specifying in the motion the points and reasons for the order. The filing of a motion for a review stays the operation of the order pending final decision on that motion. A motion for a review by the director shall be immediately scheduled for a hearing by the director. The decision of the director of the department after his or her review is final upon questions of fact.

History of Section. P.L. 1945, ch. 1661, § 27; impl. am. P.L. 1956, ch. 3717, § 1; G.L. 1956, § 5-20-31 ; P.L. 1985, ch. 181, art. 54, § 1; P.L. 1999, ch. 115, § 1.

5-20-32. Judicial review of proceedings.

Any further appeal from the actions of the director of the department of labor and training shall be in accordance with the provisions of the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1945, ch. 1661, § 28; G.L. 1956, § 5-20-32 ; P.L. 1985, ch. 181, art. 54, § 1; P.L. 1999, ch. 115, § 1.

5-20-33. Penalties for violations.

Any person violating any provision of this chapter shall be subject to the penalties as follows: any person, firm, or corporation, licensed or unlicensed by the department of labor and training, division of professional regulation, shall be subject to a fine of one thousand five hundred dollars ($1,500) for a first offense, and for second and subsequent violations of this chapter, shall be subject to a fine of not less than two thousand dollars ($2,000). Each individual person acting in violation of the provisions of this chapter shall constitute a separate offense to any person, firm, or corporation assessed a penalty under this section.

History of Section. P.L. 1945, ch. 1661, § 29; G.L. 1956, § 5-20-33 ; P.L. 1978, ch. 172, § 1; P.L. 1999, ch. 114, § 2; P.L. 2002, ch. 378, § 1; P.L. 2014, ch. 265, § 1; P.L. 2014, ch. 319, § 1; P.L. 2017, ch. 407, § 3; P.L. 2017, ch. 432, § 3.

Cross References.

Penalties for nonpayment, § 28-22-2 .

5-20-33.1. Enforcement.

  1. It is the duty of the director of the department of labor and training and the chief plumbing investigator to enforce the provisions of this chapter. Local building and plumbing inspectors, involved in the day-to-day inspection of plumbing, irrigation, or water-filtration/treatment-system installation, shall assist the chief plumbing investigator in enforcing the provisions of this chapter. These individuals have authority to demand the production of the licenses and certificates required by this chapter on any site where plumbing, irrigation, or water-filtration/treatment systems are being installed and have the authority to investigate and, where appropriate, make complaints, pursuant to § 5-20-28 or § 5-20-33 , where sufficient evidence has been obtained to sustain a reasonable belief that a violation of this chapter has occurred.
  2. The state board of plumbing examiners also has:
    1. Concurrent responsibility to enforce the provisions of this chapter;
    2. The authority to demand the production of the licenses and certificates required by this chapter on any site where plumbing or irrigation is being installed; and
    3. The authority to investigate, and where appropriate, make complaints, pursuant to § 5-20-28 or § 5-20-33 , where sufficient evidence has been obtained to sustain a reasonable belief that a violation of this chapter has occurred.
  3. The director of the department of labor and training shall provide identification to the board members for the purposes of this section.

History of Section. P.L. 1988, ch. 360, § 1; P.L. 1994, ch. 329, § 1; P.L. 1999, ch. 115, § 1; P.L. 2000, ch. 425, § 1; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

5-20-34. Prosecution of violations.

It is the duty of the director of the department of labor and training, under the recommendation of the board of examiners for plumbers, to fine any person, corporation, firm, association, or partnership violating any of the provisions of this chapter upon complaint being made whether brought pursuant to § 5-20-28 or § 5-20-33 .

History of Section. P.L. 1986, ch. 360, § 2; P.L. 2002, ch. 378, § 1.

5-20-35. Persons and acts exempt — Issuance of licenses in special cases.

  1. The provisions of this chapter do not apply to the installation of automatic sprinkler systems or other fire protection appliances in this state and do not apply to employees of public utilities (publicly or privately owned); provided, that any resident of Rhode Island not licensed, as provided in this chapter, desiring a license as a master plumber or journeyperson plumber who on or before August 14, 1966, presents to the department of labor and training of the state reasonably satisfactory evidence, in writing, that he or she was actively engaged in the business of plumbing as a master plumber or working as a journeyperson plumber for a master plumber in any city or town for five (5) years prior to May 16, 1966, and that he or she is at the time of presenting that evidence to the department of labor and training operating in any city or town as a master plumber or working as journeyperson plumber, shall, upon payment of a fee of five dollars ($5.00) in the case of a master plumber or one dollar ($1.00) in the case of a journeyperson plumber, have issued to him or her by the department of labor and training a certificate of license as a master plumber or a journeyperson plumber without an additional application, fee, or other condition precedent. Farms, golf courses, and nurseries performing irrigation work on their premises only shall not be required to be licensed under the chapter.
  2. Solar thermal professional.  A renewable energy professional certificate (REPC) shall be issued to any person, firm, or corporation, qualified under this chapter, engaged in, or about to engage in, the business of installing solar thermal technologies. Solar thermal plumbing or mechanical work must be performed by persons, firms, or corporations properly licensed under this chapter or chapter 27 of title 28. REPC holders may advertise and bid for solar thermal work provided that they contract with persons, firms, or corporations who or that are properly licensed under this chapter or chapter 27 of title 28 to perform all related plumbing or mechanical work. The REPC shall specify the name of the person, firm, or corporation applying for it and the name of the person, who, in the case of a firm, is one of its members, and in the case of a corporation, is one of its officers, passing the examination by which he or she is authorized to enter upon or engage in business as prescribed in the certificate.
  3. Solar thermal professional’s certificate.  The Rhode Island department of labor and training shall issue a certificate of competency in the design and installation of solar thermal systems to any person, firm, or corporation who or that has received a certification from a nationally recognized, or equivalent, renewable energy certification training program and has demonstrated proof of such certification to the Rhode Island office of energy resources.
  4. Nothing in this or any other chapter of the general laws shall prohibit municipalities or water districts from using employees, or engaging the services of licensed plumbers or other contractors and/or service providers that meet certain requirements determined by the municipality or water district, for the purpose of replacing water meters or meter reading devices.

History of Section. P.L. 1945, ch. 1661, § 31; G.L. 1956, § 5-20-35 ; R.P.L. 1957, ch. 116, § 6; P.L. 1966, ch. 160, § 4; P.L. 1999, ch. 115, § 1; P.L. 2000, ch. 109, § 1; P.L. 2001, ch. 214, § 2; P.L. 2011, ch. 358, § 1; P.L. 2014, ch. 104, § 2; P.L. 2014, ch. 141, § 2; P.L. 2016, ch. 512, art. 1, § 3; P.L. 2019, ch. 308, art. 1, § 10.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-20-36. Injunctions.

Violations of this chapter may be enjoined upon a bill of complaint being filed in the superior court for the county in which those violations have been committed, by the division of professional regulation or by any association of master plumbers, master irrigators, master water-filtration/treatment-system installers or journeyperson plumbers, journeyperson irrigators, or journeyperson water-filtration/treatment-system installers, licensed master plumbers, licensed master irrigators, or licensed master water-filtration/treatment-system installers or by any plumbing inspector. An injunction may be granted by the superior court after a hearing in open court against any person, firm, corporation, or association which has violated any of the provisions of this chapter, without regard to whether proceedings have been, or may be, instituted before the state board of plumbing examiners or whether criminal proceedings have been, or may be, instituted. No ex parte restraining orders shall be issued in suits brought pursuant to this section.

History of Section. R.P.L. 1957, ch. 116, § 5; P.L. 1985, ch. 181, art. 54, § 1; P.L. 1993, ch. 149, § 2; P.L. 2001, ch. 214, § 2; P.L. 2016, ch. 26, § 1; P.L. 2016, ch. 31, § 1.

5-20-37. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1989, ch. 126 art. 26, § 11; P.L. 1995, ch. 370, art. 40, § 10.

5-20-38. Individual sewage disposal system (ISDS) installers — Work permitted.

Any person who is a licensed individual sewage disposal system installer under the provisions of chapter 56 of this title is authorized to make residential water supply connections to residential dwellings consisting of three (3) units or less, both public or private, at the source of the public and/or private supply for the purpose of installation, alteration, and/or repair. Water installations, alterations, and repairs mean and include the piping and connections from the source of public or private water supply to the building or premises. Licensed individual sewage disposal system installers are required to comply with city or town permits and inspection requirements as to water supply installations, alterations, and/or repairs. In no event shall licensed individual sewage disposal system installers be allowed to perform any work on fittings or fixtures beyond the initial premises connection.

History of Section. P.L. 1990, ch. 154, § 1.

5-20-39. Transfer of duties to the department of labor and training.

The authority and power to regulate plumbers pursuant to the provisions of this chapter formerly within the department of health are transferred to the department of labor and training. Any reference in this chapter to the authority and power to regulate plumbers within the department of health shall now be construed to refer to the department of labor and training unless the context clearly indicates otherwise.

History of Section. P.L. 1999, ch. 115, § 2.

5-20-40. Investigation and prosecution of violations.

The chief of the section shall act as an investigator with respect to the enforcement of all provisions of law relative to the licensing of plumbers, and to this effect whenever a complaint is made by the chief of this section to the director of the department of labor and training, or his or her designee, that provisions of this chapter are being violated, the director, or his or her designee, may issue an order to cease and desist from that violation and may impose penalties against the violator, and against the contractors.

History of Section. P.L. 2002, ch. 378, § 3.

Chapters 20.1 — 20.4 [Reserved]

Chapter 20.5 Real Estate Brokers and Salespersons

5-20.5-1. Definitions.

When used in this chapter, unless the context indicates otherwise:

  1. “Associate broker” means any licensed real estate broker employed or engaged as an independent contractor by or on behalf of a licensed real estate broker to do or deal in any activity as included or comprehended by the definitions of a real estate broker in subsection (5) of this section, for compensation or otherwise.
  2. “Director” means the director of business regulation for the state.
  3. “Opinion of value” means an analysis, opinion, or conclusion prepared by a person licensed under this chapter, in the ordinary course of his or her business relating to the price of specified interests in or aspects of identified real estate or identified real property or by comparison to other real property currently or recently sold in the marketplace for the purpose of listing, purchase, or sale, excluding an appraisal prepared by a person licensed under the provisions of chapter 20.7 of this title, that conforms to the standards adopted by the uniform standards of professional appraisal practice (“USPAP”).
  4. “Real estate,” as used in this chapter, includes leaseholds as well as any and every interest or estate in land, whether corporeal or incorporeal, freehold or non-freehold, and whether the property is situated in this state or elsewhere.
  5. “Real estate broker”:
    1. Within the meaning of this chapter, includes all persons, partnerships, associations, and corporations, foreign and domestic, who or that:
      1. For a fee, commission, or other valuable consideration, or with the intention or expectation of receiving or collecting a fee, commission, or other valuable consideration, lists, sells, purchases, exchanges, rents, leases, prepares an opinion of value, or auctions any real estate, or the improvements on real estate including options or who negotiates or attempts to negotiate any such activity;
      2. Advertises or holds himself or herself, itself, or themselves out as engaged in those activities;
      3. Directs or assists in the procuring of a purchaser or prospect calculated or intended to result in a real estate transaction.
    2. Also includes any person, partnership, association, or corporation employed by or on behalf of the owner or owners of lots, or other parcels of real estate, at a stated salary, or upon a fee, commission or otherwise, to sell that real estate, or any parts, in lots or other parcels, and who or that sells, exchanges or leases, or offers or attempts or agrees to negotiate the sale, exchange, or lease of any such lot or parcel of real estate.
  6. “Real estate salesperson” means and includes any person employed or engaged as an independent contractor by or on behalf of a licensed real estate broker to do or deal in any activity as included or comprehended by the definitions of a real estate broker in subsection (5) of this section, for compensation or otherwise.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 1989, ch. 141, § 1; P.L. 1994, ch. 266, § 1; P.L. 1998, ch. 115, § 1; P.L. 2017, ch. 68, § 1; P.L. 2017, ch. 158, § 1.

Comparative Legislation.

Real estate brokers and salesmen:

Conn. Gen. Stat. § 20-311 et seq.

Mass. Ann. Laws ch. 112, § 87PP et seq.

Collateral References.

Broker’s liability for fraud or misrepresentation concerning development or nondevelopment of nearby property. 71 A.L.R.4th 511.

Construction of agreement between real estate agents to share commissions. 71 A.L.R.3d 586.

“Exclusive right to sell” and other terms in real estate broker’s contract as excluding owner’s right of sale. 88 A.L.R.2d 936.

Liability of vendor or real-estate broker for failure to disclose information concerning off-site conditions affecting value of property. 41 A.L.R.5th 157.

Necessity of having license in order to recover commissions, generally. 82 A.L.R.3d 1139.

Procurement of license subsequent to execution of contract for services as entitling broker to compensation for service. 80 A.L.R.3d 318.

Real estate broker’s right to commission on sale, exchange, or lease of property listed without statement of price or other terms. 169 A.L.R. 380.

Right of a factor, commission merchant, or produce broker to sell property to protect advances. 40 A.L.R. 387.

Right of attorneys to become licensed as real estate brokers. 23 A.L.R.4th 230.

Right of real estate broker to commission where listing contract is for sale of property and it is subsequently leased to one with whom broker had negotiated. 42 A.L.R.3d 1430.

Who is real estate agent, salesman, or broker within meaning of statute. 56 A.L.R. 480; 167 A.L.R. 774.

5-20.5-2. Persons exempt.

  1. Neither the term “real estate broker” nor “real estate salesperson” is held to include:
    1. Any person, partnership, association, or corporation, who or that, as a bona fide owner, lessee, or lessor, performs any of the previously stated acts as to property owned, or leased by them, or to their regular employees, where those acts are performed in the regular course of, or as an incident to the management of the property and the investment in the property; or
    2. Any person, partnership, association, or corporation, or any of their employees, who or that seeks to acquire, lease, rent, sell, or deal in real estate that has been or will be used or held for investment by that person, partnership, association, or corporation.
  2. This chapter is also not to be construed to include:
    1. Any attorney at law licensed by the supreme court of the state nor any person holding in good faith an executed power of attorney from the owner, authorizing the final consummation and execution for the sale, purchase, leasing, or exchange of real estate;
    2. The acts of any person while acting as a receiver, trustee, administrator, executor, guardian, or under court order, or while acting under authority of a deed of trust or will;
    3. The acts of any person, partnership, association, or corporation who or that appraises real or personal property for the purpose of conducting a mass appraisal, municipal revaluation for tax purposes, or other forms of ad valorem appraisal; or
    4. Public officers while performing their duties as public officers.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 1981, ch. 249, § 1.

Collateral References.

Right of attorney to act as real estate broker. 23 A.L.R.4th 230.

5-20.5-3. Contents of application — Application fee — Recommendations required.

  1. Applicants applying for the first time for a license to act as a real estate broker or real estate salesperson shall file with the director an application for the license upon a printed or electronic form as determined by the director that, together with any additional information that the director requires, contains a statement under oath by the applicant giving his or her age; residence; place of business; present occupation; and whether or not he or she has been refused a real estate broker’s or salesperson’s license in this or in any other state or had any real estate license suspended or revoked.
  2. All applicants for a license to act as a real estate broker or real estate salesperson shall accompany their applications with a fee of ten dollars ($10.00) to cover costs of processing those applications.
  3. The application for a broker’s license shall be accompanied by the names of at least three (3) Rhode Island residents who have known the applicant for three (3) years, and are not related to the applicant and will attest that the applicant bears a good reputation for honesty and trustworthiness, and who will recommend that a license be granted to the applicant. The applicant must be a citizen or legal resident of the United States and at least legal age of majority, if applicant for broker license, or at least eighteen (18) years of age for salesperson license. In the case of an applicant for a real estate salesperson’s license, he or she must also file a statement under oath from the broker in whose employ the applicant desires to enter, that in his or her opinion, the applicant is competent and trustworthy and is recommended as a suitable person to be granted a salesperson’s license.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 1981, ch. 249, § 1; P.L. 1996, ch. 164, § 3; P.L. 2011, ch. 102, § 1; P.L. 2011, ch. 113, § 1.

5-20.5-4. Examination of applicants — Examination fee — Licensing without examination.

  1. The director shall require any applicant for a real estate broker’s or salesperson’s license to submit to and pass a written examination to show the applicant’s knowledge of the state statutes and the rules and regulations relating to real property, deeds, mortgages, leases, contracts, real estate relationships, and federal and state fair housing laws pertaining to fair housing and the treatment of any individual in a protected class as designated in chapter 37 of title 34. An applicant shall not be required to take the uniform portion of the Rhode Island real estate licensing examination if the applicant provides sufficient evidence that the applicant possesses an existing valid real estate license from a state that has similar statutes or regulations in effect that provide for reciprocal waiver of the uniform portion of the real estate licensing examination for persons holding an existing valid Rhode Island real estate broker’s or salesperson’s license. An applicant for a real estate broker’s or salesperson’s license, prior to the taking of the examination, must pay an examination fee, the cost of which is limited to the charge as designated by the appropriate testing service’s contract with the department of business regulation.
  2. An applicant for a real estate salesperson’s license must submit satisfactory evidence of completion of a minimum of forty-five (45) classroom hours in a real estate course given by a school as defined in § 5-20.5-19 . The applicant for a broker’s license must also submit satisfactory proof that he or she: (i) Has been engaged full time as a real estate salesperson for at least two (2) years immediately prior to the date of application; and (ii) Has successfully completed at least ninety (90) hours of approved classroom study in a school as defined in § 5-20.5-19 , or equivalent in a correspondence course offered by an extension department of an accredited college or university. The director, in his or her sole discretion, may require any additional evidence or proof as to the honesty, trustworthiness, integrity, good reputation, and competency of any applicant.
  3. Any successful applicant who fails to remit the original license fee as provided in § 5-20.5-11 within one year of the date of that examination may be required by the director to re-submit to and pass a written examination as provided in subsection (a) of this section.
  4. When an attorney-at-law licensed by the supreme court of the state desires to have a real estate broker’s license or a real estate salesperson’s license, the attorney, by application, and upon payment of the applicable fee as provided in § 5-20.5-11 , shall be granted a license without examination.
  5. A certificate of licensure shall be issued by the real estate division of the department of business regulation within thirty (30) days after it is requested at a cost of not more than twenty-five dollars ($25.00) for each certificate issued.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 1981, ch. 249, § 1; P.L. 1986, ch. 75, § 1; P.L. 1988, ch. 353, § 1; P.L. 2003, ch. 376, art. 23, § 1; P.L. 2004, ch. 317, § 1; P.L. 2004, ch. 595, art. 30, § 3; P.L. 2004, ch. 608, § 1; P.L. 2011, ch. 102, § 1; P.L. 2011, ch. 113, § 1; P.L. 2017, ch. 459, § 1; P.L. 2017, ch. 476, § 1; P.L. 2021, ch. 211, § 1, effective January 1, 2022; P.L. 2021, ch. 322, § 1, effective January 1, 2022.

Compiler's Notes.

P.L. 2021, ch. 211, § 1, and P.L. 2021, ch. 322, § 1 enacted identical amendments to this section.

Delayed Effective Dates.

P.L. 2021, ch. 211, § 3, provides that the amendment to this section by that act takes effect on January 1, 2022.

P.L. 2021, ch. 322, § 3, provides that the amendment to this section by that act takes effect on January 1, 2022.

Collateral References.

Necessity for real estate broker’s license as affected by fact that sale is of both real and personal property. 88 A.L.R. 1422.

Validity of statute or ordinance requiring real estate brokers to procure license. 39 A.L.R.2d 606.

5-20.5-5. Real estate recovery account.

    1. The department of business regulation shall establish and maintain a real estate recovery account from which any person aggrieved by an act, representation, transaction, or conduct of a licensed real estate broker or real estate salesperson, upon the grounds of fraud, misrepresentation, or deceit, may recover by order of the superior court of the county where the violation occurred, an amount of not more than fifty thousand dollars ($50,000) for damages sustained by the fraud, misrepresentation, or deceit, as a result of any real estate transaction in which the real estate broker or salesperson has acted in his or her capacity as a real estate broker or salesperson. This account shall not be used to reimburse any real estate broker or salesperson for any commission, fee, or other valuable consideration due or owing from any other real estate broker or salesperson. Provided, that pursuant to subsection (h) of this section, the amount available for payments of claims is limited to fifty thousand dollars ($50,000) for any one licensee. Payment of claims is made in order according to the date a judgment is awarded with that judgment awarded earliest in time being paid first.
    2. When any person makes application for an original license to practice as a real estate broker or salesperson he or she shall pay, in addition to his or her original license fee, a fee determined by the department for deposit in the real estate recovery account. If the department does not issue the license, this fee is returned to the applicant.
  1. If, on December 31 of any year, the balance remaining in the real estate recovery account is less than two hundred thousand dollars ($200,000), every real estate broker, when renewing his or her license during the following calendar year, shall pay, in addition to his or her license renewal fee, a fee of twenty-five dollars ($25.00) for deposit in the real estate recovery account, and every real estate salesperson, when renewing his or her license during that year, shall pay, in addition to his or her license renewal fee, a fee of twenty-five dollars ($25.00) for deposit in the real estate recovery account.
    1. No action for a judgment that subsequently results in an order for collection from the real estate recovery account shall be started later than two (2) years from the accrual of the cause of action. When any aggrieved person commences action for a judgment that may result in collection from the real estate recovery account, the aggrieved person shall notify the department of business regulation, in writing, to this effect at the time of the commencement of that action.
    2. When any aggrieved person recovers a valid judgment in any court of competent jurisdiction against any real estate broker or real estate salesperson, upon the grounds of fraud, misrepresentation, or deceit, that occurred on or after May 11, 1978, the aggrieved person may, upon the termination of all proceedings, including reviews and appeals in connection with the judgment, file a verified claim in the court in which the judgment was entered and, upon ten (10) days’ written notice to the department, may apply to the court for an order directing payment out of the real estate recovery account, of the amount unpaid upon the judgment, subject to the limitations stated in this section.
    3. The court shall proceed upon the application in a summary manner, and, upon the hearing on the application, the aggrieved person shall be required to show:
      1. He or she is not a spouse of the debtor, or the personal representative of the spouse;
      2. He or she has complied with all the requirements of this section;
      3. He or she has obtained a judgment as set out in subsection (c)(2), stating the amount of the judgment and the amount owing on it on the date of the application;
      4. He or she has made all reasonable searches and inquiries to ascertain whether the judgment debtor is possessed of real or personal property or other assets, liable to be sold or applied in satisfaction of the judgment; and
      5. That by the search pursuant to subsection (c)(3)(iv) he or she has discovered no personal or real property or other assets liable to be sold or applied, or that he or she has discovered certain of them, describing them, owned by the judgment debtor and liable to be so applied, and that he or she has taken all necessary action and proceedings for the realization, and that the amount realized was insufficient to satisfy the judgment, stating the amount realized and the balance remaining due on the judgment after application of the amount realized.
    4. The court shall make an order directed to the department of business regulation requiring payment from the real estate recovery account of whatever sum it finds to be payable upon the claim, pursuant to and in accordance with the limitations contained in this section, if the court is satisfied, upon the hearing of the truth of all matters required to be shown by the aggrieved person by subsection (c)(3) and that the aggrieved person has fully pursued and exhausted all remedies available to him or her for recovering the amount awarded by the judgment of the court.
    5. Should the department of business regulation pay from the real estate recovery account any amount in settlement of a claim or toward satisfaction of a judgment against a licensed real estate broker or real estate salesperson, the license of the broker or salesperson shall be automatically revoked upon the issuance of a court order authorizing payment from the real estate recovery account. This broker or salesperson is not eligible to receive a new license until he or she has repaid in full, plus interest at the rate of twelve percent (12%) a year, the amount paid from the real estate recovery account on his or her account. A discharge in bankruptcy does not relieve a person from the penalties and disabilities provided in this subsection (c)(5).
    6. If, at any time, the money deposited in the real estate recovery account is insufficient to satisfy any authorized claim or portion of a claim, the department shall, when sufficient money has been deposited in the real estate recovery account, satisfy those unpaid claims or portions of claims, in the order that those claims or portions of claims were originally filed, plus accumulated interest at the rate of twelve percent (12%) a year.
  2. It is unlawful and constitutes a misdemeanor for any person or his or her agent to file with the department of business regulation any notice, statement, or other document required under this chapter that is false or untrue or contains any material misstatement of fact.
  3. When the department receives notice, as provided in subsection (c)(1), the department may enter an appearance, file an answer, appear at the court hearing, defend the action, or take whatever other action it deems appropriate on behalf and in the name of the defendant, and take recourse through any appropriate method of review on behalf of, and in the name of, the defendant.
  4. When, upon the order of the court, the department of business regulation has paid from the real estate recovery account any sum to the judgment creditor, the department is subrogated to all of the rights of the judgment creditor and the judgment creditor assigns all his or her right, title, and interest in the judgment to the department and any amount and interest recovered by the department on the judgment shall be deposited to the account.
  5. The failure of an aggrieved person to comply with this chapter relating to the real estate recovery account constitutes a waiver of any rights under this chapter.
  6. Notwithstanding any other provision, the liability of that portion of the real estate recovery account allocated for the purposes of the real estate recovery account shall not exceed fifty thousand dollars ($50,000) for any one licensee.
  7. Nothing contained in this section limits the authority of the department of business regulation to take disciplinary action against any licensee for a violation of this chapter, or the rules and regulations of the department; nor does the repayment in full of all obligations to the real estate recovery account by any licensee nullify or modify the effect of any other disciplinary proceeding brought pursuant to this chapter.

History of Section. P.L. 1978, ch. 169, § 2; P.L. 1982, ch. 429, § 1; P.L. 1985, ch. 181, art. 59, § 1; P.L. 1990, ch. 412, § 2; P.L. 1990, ch. 480, § 1; P.L. 1992, ch. 61, § 1; P.L. 1993, ch. 138, art. 6, § 1.

Repealed Sections.

Former § 5-20-5.5 (P.L. 1973, ch. 215, § 2), concerning a bond requirement for brokers and salesmen, was repealed by P.L. 1978, ch. 169, § 1.

NOTES TO DECISIONS

Notice of Claim.

Notice to the Real Estate Division of the Department of Business Regulation constitutes notice to the Rhode Island Real Estate Commission (now department of business regulation) pursuant to subdivision (c)(2). Gianquitti v. Petrucci, 490 A.2d 57, 1985 R.I. LEXIS 473 (R.I. 1985).

5-20.5-6. Duration and renewal of licenses — Continuing education rules and regulations — Suspension or revocation of licenses.

  1. If the director is satisfied that the applicant is competent and trustworthy and is reasonably familiar with the statutes and law relating to real estate, he or she shall issue to the applicant a license to act as a real estate broker or a real estate salesperson. The director shall promulgate rules and regulations mandating the term of license for each category of license issued pursuant to this chapter. No license shall remain in force for a period in excess of three (3) years. Any fee for the initial issuance of a license or for renewal of a license issued pursuant to this chapter is determined by multiplying the current annual fee by the term of years of the license or renewal. The fee for the total number of years of the initial license or of the renewal shall be paid in full prior to the issuance of the respective license. The license shall be renewed upon payment of the renewal fee and proof of completion of any continuing education requirements as set forth in the rules and regulations issued by the department of business regulation. Any license issued or renewed may be suspended or revoked by the director, for cause, prior to the expiration date. The director shall issue reasonable rules and regulations with the consent of the majority of the Rhode Island real estate commission governing the conduct of licensed real estate brokers and salespersons. These rules and regulations shall be designed to implement the laws and policies of this state and to protect the interests of the public.
  2. Except as provided in subsection (d) of this section, all applicants for a renewal license for real estate brokers or real estate salespersons shall submit proof to the director that they have completed during the preceding two-year (2) period, a minimum of twenty-four (24) classroom hours of real estate oriented educational sessions or courses of instruction that have been previously approved by the director. A minimum of three (3)  classroom hours shall be comprised of instruction about federal, Rhode Island, or local laws pertaining to fair housing and the treatment of any individual in a protected class as designated in chapter 37 of title 34.
  3. The license shall be renewed upon payment of the renewal fee and proof of completion of continuing education requirements as set forth in the rules and regulations issued by the department of business regulation. Any license issued or renewed may be suspended or revoked by the director, for cause, prior to the expiration date. The director shall issue reasonable rules and regulations with the consent of the majority of the Rhode Island real estate commission governing the conduct of licensed real estate brokers and salespersons. These rules and regulations shall be designed to implement the laws and policies of this state and to protect the interests of the public.
  4. Any rules or regulations promulgated with regard to the requirement of continuing education for the renewal of any real estate broker’s or salesperson’s license whose application for an initial broker’s or salesperson’s license is approved within one hundred eighty (180) days of the expiration date of his or her initial license is not subject to the continuing education requirement at the time of his or her first renewal. An attorney at law licensed by the supreme court of the state and granted a license pursuant to § 5-20.5-4(d) is not subject to the continuing education requirements. The director, after a due and proper hearing, may suspend, revoke, or refuse to renew any license upon proof that it was obtained by fraud or misrepresentation or that the holder of the license has been guilty of fraud or misrepresentation or criminal acts in the performance of his or her functions, or upon proof that the holder of the license has violated this statute or any rule or regulation issued pursuant to this statute.
  5. The director shall, for licenses issued or renewed after July 1, 2004, require proof of reasonable familiarity with and knowledge of duties and responsibilities established by the lead poisoning prevention act, chapter 24.6 of title 23, and the lead hazard mitigation act, chapter 128.1 of title 42. Notwithstanding the provisions of subsection (b) of this section, the requirements of this subsection shall apply to first renewals when licenses were initially issued before July 1, 2004. This subsection shall be put into force and effect by the director in the manner set forth in chapter 128.1 of title 42 and with the advice of the Rhode Island real estate commission.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 1981, ch. 249, § 1; P.L. 1987, ch. 184, § 1; P.L. 1990, ch. 479, § 1; P.L. 1991, ch. 218, § 1; P.L. 2002, ch. 187, § 1; P.L. 2002, ch. 188, § 1; P.L. 2011, ch. 102, § 1; P.L. 2011, ch. 113, § 1; P.L. 2021, ch. 211, § 1, effective January 1, 2022; P.L. 2021, ch. 322, § 1, effective January 1, 2022.

Compiler's Notes.

P.L. 2021, ch. 211, § 1, and P.L. 2021, ch. 322, § 1 enacted identical amendments to this section.

Delayed Effective Dates.

P.L. 2021, ch. 211, § 3, provides that the amendment to this section by that act takes effect on January 1, 2022.

P.L. 2021, ch. 322, § 3, provides that the amendment to this section by that act takes effect on January 1, 2022.

Law Reviews.

2002 Survey of Rhode Island Law, see 8 Roger Williams U.L. Rev. 421 (2003).

Collateral References.

Grounds for revocation or suspension of license of real-estate broker or salesperson. 7 A.L.R.5th 474.

5-20.5-7. Fixed office required — Display of license — Notice of change of address and employment.

Each resident licensed real estate broker must maintain a fixed office within this state. All business records relating to real estate transactions and to the management of that office must be kept on the premises of the fixed office location. The original license as real estate broker and the original license of each real estate salesperson in the employ of or under contract with that real estate broker shall be prominently displayed in the office. A real estate broker shall communicate any change of fixed office location to the director, and a real estate salesperson shall communicate any change of employment or broker affiliation to the director, immediately upon or prior to such change.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 2011, ch. 102, § 1; P.L. 2011, ch. 113, § 1.

5-20.5-8. Corporations, partnerships, or associations engaging in business.

The real estate broker’s license issued to any corporation, partnership, or association shall designate the name of the one principal active officer of the corporation, partnership, or association for whom that license is valid and every other active broker or salesperson of that corporation, partnership, or association is obliged to obtain an individual license as a real estate broker or salesperson.

History of Section. P.L. 1973, ch. 215, § 2.

5-20.5-9. Temporary license issued to representative of deceased broker.

In the event of the death of a licensed real estate broker who is the sole proprietor of a real estate business, the director shall, upon application by his or her legal representative, issue, without examination, a temporary license to that legal representative, or to an individual designated by him or her and approved by the director, upon filing of the required bond and the payment of the prescribed fee, that authorizes the temporary licensee to continue to transact the business for a period not to exceed one year from the date of death.

History of Section. P.L. 1973, ch. 215, § 2.

5-20.5-10. Nonresident brokers — Employment of unlicensed brokers restricted — Nonresident salespersons — Service of process.

  1. A nonresident of this state may become a real estate broker by conforming to all the provisions of this chapter, except that a nonresident real estate broker regularly engaged in the real estate business as a vocation and who maintains a definite place of business and is licensed in some other state that offers the same privileges to the licensed brokers of this state, is not required to maintain a place of business within this state. The director shall recognize the license issued to a real estate broker by another state as satisfactorily qualifying him or her for a license as a broker in this state; provided that the other state permits licenses to be issued to licensed brokers in this state without examination and provided that the licensing requirements set forth in § 5-20.5-4 have been met.
  2. It is unlawful for any licensed real estate broker to employ or compensate directly or indirectly any person for performing any of the acts regulated by this chapter who is not a licensed real estate broker or licensed real estate salesperson; provided, that a licensed real estate broker may pay a commission to a licensed real estate broker of another state; provided, that the nonresident real estate broker does not conduct in this state any of the negotiations for which a fee, compensation, or commission is paid.
    1. A nonresident of this state may become a real estate salesperson by conforming to all the provisions of this chapter, including those set forth in § 5-20.5-4 ; provided that the nonresident real estate salesperson is regularly employed by a real estate broker licensed to do business within this state.
    2. The director shall recognize the license issued to a real estate salesperson by another state as satisfactorily qualifying him or her for a license as a salesperson in this state and also that the other state permits licenses to be issued to licensed salespersons in this state without examination.
  3. No license shall be issued to a nonresident until he or she has filed with the director a power of attorney constituting and appointing the director and his or her successor his or her true and lawful attorney, upon whom all lawful processes in any action or legal proceeding against him or her may be served, and in the power of attorney agrees that any lawful process against him or her that may be served upon his or her attorney is of the same force and validity as if served on the nonresident, and that the authority continues irrevocably in force as long as any liability of the nonresident remains outstanding in the state. Service of that process shall be made by leaving duplicate copies of it in the hands or office of the director, and the director shall immediately send one of those copies by mail, postage prepaid, addressed to the defendant at his or her last address as appearing on the records of the commission. One of the duplicates of that process, certified by the director as having been served upon him or her, is deemed sufficient evidence of that service, and service upon that attorney is deemed service upon the principal.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 2011, ch. 102, § 1; P.L. 2011, ch. 113, § 1.

Collateral References.

Application and effect of statute relating to real estate broker from out of state. 159 A.L.R. 274.

5-20.5-11. Fees and license renewals.

  1. The following fees shall be charged by the director:
    1. For each application, a fee of ten dollars ($10.00);
    2. For each examination, a fee, the cost of which is limited to the charge as designated by the appropriate testing service’s contract with the department of business regulation;
    3. For each original broker’s license issued, a fee of eighty-five dollars ($85.00) per annum for the term of the license and for each annual renewal of the license, a fee of eighty-five dollars ($85.00) per annum for the term of renewal. The total fees for the term of initial licensure and of renewal must be paid at the time of application for the license;
    4. For each original salesperson’s license issued, a fee of sixty-five dollars ($65.00) per annum for the term of the license and for each renewal of the license, a fee of sixty-five dollars ($65.00) per annum for the term of the license. The total fees for the term of initial licensure and of renewal must be paid at the time of application for the license;
    5. For each change from one broker to another broker by a salesperson, or a broker, a fee of twenty-five dollars ($25.00), to be paid by the salesperson or the broker;
    6. For each broker’s license reinstated after its expiration date, a late fee of one hundred dollars ($100), in addition to the required renewal fee;
    7. For each salesperson’s license reinstated after its expiration date, a late fee of one hundred dollars ($100) in addition to the required renewal fee.
  2. Every licensed real estate broker and salesperson who desires to renew a license for the succeeding year term shall apply for the renewal of the license upon a form furnished by the director and containing information that is required by the director. Any renewal of a license is subject to the same provisions covering issuance, suspension, and revocation of any license originally issued. At no time shall any license be renewed without examination if the license has expired beyond a period of one year.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 1981, ch. 249, § 1; P.L. 1983, ch. 70, § 1; P.L. 1987, ch. 184, § 2; P.L. 1988, ch. 129, art. 17, § 1; P.L. 1990, ch. 65, art. 73, § 1; P.L. 2003, ch. 376, art. 23, § 1; P.L. 2004, ch. 595, art. 30, § 3; P.L. 2011, ch. 102, § 1; P.L. 2011, ch. 113, § 1; P.L. 2015, ch. 82, § 6; P.L. 2015, ch. 105, § 6.

5-20.5-12. Commission — Creation — Composition — Appointment, terms, and compensation of members — Officers — Deputy directors — Seal.

    1. Within the department of business regulation there is created the Rhode Island real estate commission, subsequently referred to as “commission,” to consist of nine (9) persons at least one from each county to be appointed by the governor, each of whom has been a citizen of this state for at least ten (10) years prior to the date of appointment, three (3) current licensed brokers each of whom have been engaged as a licensed broker in this state for at least five (5) years prior to the date of appointment, four (4) of whom are members of the general public, at least one of whom has substantial academic experience in real estate and at least one who has been active in citizen groups concerned with real estate practices and activities. Two (2) members appointed for one year; two (2) members shall be appointed for two (2) years; one member for three (3) years; one member for four (4) years; and one member for five (5) years; beginning on December 31, 1973. Successors of all members shall be appointed by the governor for terms of five (5) years each and until their successors are appointed and qualify by subscribing to the constitutional oath of office, which shall be filed with the secretary of state. Members to fill vacancies shall be appointed for the unexpired term. No member shall be appointed to succeed himself or herself for more than one full term. There are two (2) ex-officio members of the commission and they are the attorney general or his or her designee and the director of the department or his or her designee. All ex-officio members have full voting powers and serve without compensation. Upon qualification of the members appointed, the commission shall organize by selecting from its members a chairperson.
    2. The commission shall adopt reasonable rules and regulations to carry out its purposes. The department of business regulation with the assistance of the commission shall establish any reasonable rules and regulations that are appropriate for that program to ensure that education and practice requirements of license holders meet the public interest.
  1. The director shall employ a deputy director and any other employees that he or she deems necessary and proper to discharge the duties imposed by this chapter, and shall determine and prescribe their duties and fix their compensation, subject to the general laws of the state.
  2. No member of the commission shall receive compensation for his or her official duties but shall be reimbursed for his or her actual and necessary expenses incurred in the performance of his or her official duties.
  3. The commission shall adopt a seal of any design that it prescribes. Copies of all records and papers in the office of the commission, duly certified and authenticated by its seal, shall be received in evidence in all courts with like effect as the original. All records of the commission are open to public inspection under any reasonable rules and regulations that it prescribes.
  4. The commission shall have a policy-making role in the preparation and composition of the examinations to be administered by the real estate division within the department of business regulation. Subsequent to the administration of the examination, the commission shall review the examinations to evaluate their effectiveness. The commission shall supervise the operations of the real estate division within the department of business regulation in an advisory capacity in promulgating any policy that is necessary to improve the operations of the real estate division within the department of business regulation in their areas of expertise. The promulgation of that policy is subject to the approval of the director.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 1980, ch. 226, § 14; P.L. 1982, ch. 414, § 15; P.L. 1985, ch. 181, art. 59, § 1; P.L. 2005, ch. 117, art. 21, § 7; P.L. 2011, ch. 102, § 1; P.L. 2011, ch. 113, § 1; P.L. 2014, ch. 92, § 1; P.L. 2014, ch. 93, § 1.

Cross References.

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

5-20.5-13. [Repealed.]

History of Section. P.L. 1973, ch. 215, § 2, P.L. 1985, ch. 181, art. 59, § 1; Repealed by P.L. 1999, ch. 149, § 1, effective June 28, 1999.

Compiler’s Notes.

Former § 5-20.5-13 concerned hearings of the real estate commission.

5-20.5-14. Revocation, suspension of license — Probationary period — Penalties.

  1. The director may, upon his or her own motion, and shall, upon the receipt of the written verified complaint of any person initiating a cause under this section, ascertain the facts and, if warranted, hold a hearing for the suspension or revocation of a license. The director has power to refuse a license for cause or to suspend or revoke a license or place a licensee on probation for a period not to exceed one year where it has been obtained by false representation, or by fraudulent act or conduct, or where a licensee, in performing or attempting to perform any of the acts mentioned in this chapter, is found to have committed any of the following acts or practices:
    1. Making any substantial misrepresentation;
    2. Making any false promise of a character likely to influence, persuade, or induce any person to enter into any contract or agreement when he or she could not or did not intend to keep that promise;
    3. Pursuing a continued and flagrant course of misrepresentation or making of false promises through salespersons, other persons, or any medium of advertising, or otherwise;
    4. Any misleading or untruthful advertising;
    5. Failing to deposit money or other customers’ funds received by a broker or salesperson into an escrow account maintained by the broker that complies with the requirements set forth in § 5-20.5-26 , upon execution of a purchase and sales agreement;
    6. Failing to preserve for three (3) years following its consummation records relating to any real estate transaction as described in the regulations issued by the department;
    7. Acting for more than one party in a transaction without the knowledge and consent, in writing, of all parties for whom he or she acts;
    8. Placing a “for sale” or “for rent” sign on any property without the written consent of the owner, or his or her authorized agent;
    9. Failing to furnish a copy of any listing, sale, lease, or other contract relevant to a real estate transaction to all signatories of the contract at the time of execution;
    10. Failing to specify a definite termination date that is not subject to prior notice, in any listing contract;
    11. Inducing any party to a contract, sale, or lease to break that contract for the purpose of substitution in lieu of that contract a new contract, where that substitution is motivated by the personal gain of the licensee;
    12. Accepting a commission or any valuable consideration by a salesperson for the performance of any acts specified in this chapter, from any person, except the licensed real estate broker with whom he or she is affiliated;
    13. Failing to disclose to an owner his or her intention or true position if he or she, directly or indirectly through a third party, purchases for himself or herself or acquires or intends to acquire any interest in or any option to purchase property that has been listed with his or her office to sell or lease;
    14. Being convicted of any criminal felony in a court of competent jurisdiction of this or any other state or federal court involving dishonesty, breach of trust, forgery, embezzlement, obtaining money under false pretenses, bribery, larceny, extortion, conspiracy to defraud, fraud, false dealing, or any similar offense(s) or by pleading guilty or nolo contendere to any such criminal offense or offenses;
    15. Violating any rule or regulation promulgated by the department in the interest of the public and consistent with the provisions of this chapter;
    16. In the case of a broker licensee, failing to exercise adequate supervision over the activities of his or her licensed salesperson within the scope of this chapter;
    17. Failing or refusing to provide information requested by the commission or director as the result of a formal or informal complaint to the director that would indicate a violation of this chapter;
    18. Soliciting, selling, or offering for sale real property by offering free lots or conducting lotteries or contests or offering prizes for the purpose of influencing a purchaser or prospective purchaser of real property;
    19. Paying or accepting, giving, or charging any undisclosed commission, rebate, compensation, or profit or expenditures for a principal or in violation of this chapter;
    20. Any conduct in a real estate transaction that demonstrates bad faith, dishonesty, untrustworthiness, or incompetence;
    21. Failing to have all listing agreements in writing, properly identifying the property and containing all of the terms and conditions of the sale, including the commission to be paid, the signatures of all parties concerned, and a definite expiration date in that contract that shall not require an owner to notify a broker of his or her intention to terminate. An exclusive agency listing or exclusive right to sell listing shall be clearly indicated in the listing agreement;
    22. Accepting a listing based on “net price.” In cases where the owner wishes to list in this manner, the agreed-upon commission is added and listings made in the usual manner;
    23. Negotiating, or attempting to negotiate, the sale, exchange, or lease of any real property directly with an owner or lessor knowing that the owner or lessor has an outstanding exclusive listing contract with another licensee covering the same property, except when the real estate broker or salesperson is contacted by the client of another broker regarding a real estate service, and the broker or salesperson has not directly or indirectly initiated those discussions, they may discuss the terms under which they might enter into a future agency agreement; or they may enter into an agency agreement that becomes effective upon termination of any existing exclusive agreement; or they may enter into an agreement for other real estate service not covered by an existing agency relationship;
    24. Accepting an exclusive right to sell or lease or an exclusive agency and subsequently failing to make a diligent effort to sell or lease the listed property;
    25. Advising against the use of the services of an attorney in any real estate transaction;
    26. Representing to any lender or any other party in interest, either verbally or through the preparation of a false sales contract, an amount other than the true and actual sales price;
    27. Submitting to an owner a written offer to purchase or lease unless that offer contains the essential terms and conditions of the offer, including the manner in which the purchase price is to be paid, and if that offer is contingent upon certain conditions, those conditions shall be clearly stated in the offer, or unless the offer is conditioned upon the later execution of a complete agreement for sale;
    28. Paying any sums of money being held in an escrow account to any person, or converting the sums of money for his or her own use, in the event of a failed real estate transaction, without having complied with the department’s rules and regulations relative to the transfer of disputed deposit funds to the office of the general treasurer;
    29. Advertising to sell, buy, exchange, rent, or lease the property of another in a manner indicating that the offer to sell, buy, exchange, rent, or lease that property is being made by a private party not engaged in the real estate business, or inserting advertisements in any publication containing only a post office or other box number, telephone number, or street address. No salesperson shall advertise the property of another under his or her own name;
    30. As a licensed salesperson, failing upon termination of his or her employment or affiliation with a real estate broker and upon demand by the broker to immediately turn over to the broker any and all information, records, or other materials obtained during his or her employment, whether the information or records were originally given to him or her by the broker or copied from the records of that broker or affiliation or acquired by the salesperson during his or her employment;
    31. Offering, promising, giving, or paying, directly or indirectly, any part or share of his or her commission or compensation arising or accruing from any real estate transaction to any person who is not licensed as a real estate broker, but who, by law, should be licensed, or who is not a real estate salesperson employed by that licensee;
    32. Violating chapter 37 of title 34 in his or her capacity as a real estate licensee, including, but not limited to, soliciting the sale, lease, or the listing for sale or lease, of residential property on the ground of loss of value due to the present or prospective entry in the neighborhood of a person or persons of another race, religion, or ethnic origin, nor shall he or she distribute, or cause to be distributed, material or make statements designed to induce a residential property owner to sell or lease his or her property due to these factors;
    33. Failure of the employing broker to notify the director, in writing, within ten (10) days of the termination of a salesperson’s employment or contractual relationship, or failure of a salesperson to notify the director, in writing, within ten (10) days of any change in his or her broker affiliation;
    34. Failure to report all written offers to the owner prior to the signing of a purchase and sale agreement by the owner;
    35. Failure of agents to provide buyers and sellers of real property with disclosure regarding real estate agency relationships as specified in chapter 20.6 of this title;
    36. Failure of an associate broker to inform the public of associate broker status by not listing associate broker on business cards and correspondence or by informing the public that his or her status in the real estate firm is that of broker; or
    37. Failure to pay sums of money being held in an escrow account, pursuant to § 5-20.5-26 , within ten (10) days of receipt of a written release that has been signed by all parties to a failed real estate transaction.
  2. The director is authorized to levy an administrative penalty not exceeding two thousand dollars ($2,000) for any violation under this section or the rules and regulations of the department of business regulation.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 1981, ch. 249, § 1; P.L. 1985, ch. 417, § 1; P.L. 1986, ch. 317, § 1; P.L. 1989, ch. 141, § 1; P.L. 1991, ch. 424, § 1; P.L. 1993, ch. 397, § 2; P.L. 1996, ch. 185, § 1; P.L. 2001, ch. 114, § 1; P.L. 2011, ch. 102, § 1; P.L. 2011, ch. 113, § 1; P.L. 2017, ch. 47, § 1; P.L. 2017, ch. 55, § 1; P.L. 2018, ch. 38, § 1; P.L. 2018, ch. 41, § 1; P.L. 2019, ch. 308, art. 1, § 11; P.L. 2021, ch. 211, § 1, effective January 1, 2022; P.L. 2021, ch. 322, § 1, effective January 1, 2022.

Compiler's Notes.

P.L. 2021, ch. 211, § 1, and P.L. 2021, ch. 322, § 1 enacted identical amendments to this section.

Delayed Effective Dates.

P.L. 2021, ch. 211, § 3, provides that the amendment to this section by that act takes effect on January 1, 2022.

P.L. 2021, ch. 322, § 3, provides that the amendment to this section by that act takes effect on January 1, 2022.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

NOTES TO DECISIONS

Private Right of Action.

There was no error on the part of the hearing officer who held that plaintiffs could not pursue a private right of action because there was no prior determination of a violation by the director of the Department of Business Regulation pursuant to this statute. Loffredo v. Shapiro, 274 A.3d 782, 2022 R.I. LEXIS 47 (R.I. 2022).

Collateral References.

Broker’s liability to prospective purchaser for refund of deposit or earnest money where contract fails because of defects in vendor’s title. 38 A.L.R.2d 1382.

Grounds for revocation or suspension of license of real-estate broker or salesperson. 7 A.L.R.5th 474.

Liability of broker to purchaser for overstating lowest price at which owner is willing to sell. 55 A.L.R.2d 342.

Liability of real estate agent or broker to employer because of unfit character of purchaser or tenant procured by him. 60 A.L.R. 1379.

Liability of real estate broker for interference with contract between vendor and another real estate broker. 34 A.L.R.3d 720.

Power of real estate broker to execute contract of sale in behalf of principal. 43 A.L.R.2d 1014.

Real estate broker’s liability to principal for accepting note, check, or property, rather than cash. 59 A.L.R.2d 1455.

Real estate broker’s liability to purchaser for misrepresentation or nondisclosure of physical defects in property sold. 46 A.L.R.4th 546.

Revocation or suspension of real estate broker’s license for violation of statutes or regulations prohibiting use of unlicensed personnel in carrying out duties. 68 A.L.R.3d 530.

Skill and care required of real estate broker. 94 A.L.R.2d 468.

Validity and construction of anti-blockbusting regulations as designed to prevent brokers from inducing sales of realty because of actual or rumored entry of racial group in neighborhood. 34 A.L.R.3d 1432.

5-20.5-15. Hearings before revocation or suspension of license.

    1. Before refusing to issue a license or suspending or revoking a license on its own motion, the division of professional regulation shall notify the applicant or licensee of its intended action and the grounds for the action. The applicant or licensee may, within twenty (20) days, file with the division a request for a hearing stating his or her answer to the grounds specified in the notification. The division shall consider the answer and set a date for a hearing, notifying the applicant or licensee of the date at least twenty (20) days prior to the hearing date.
    2. Before refusing to issue a license or suspending or revoking an existing license upon the verified written complaint of any person stating a cause of action under § 5-20.5-17 , the department of business regulation shall, in writing, notify the accused applicant or licensee of its receipt of the complaint, enclosing a copy of the complaint. The accused applicant or licensee shall, within twenty (20) days, file his or her answer to the complaint or complaints with the department.
    3. The division shall transmit a copy of the answer to the complainant or complainants and set a time and place for a hearing, which is at least twenty (20) days prior to the hearing date.
    4. All notices and answers required or authorized to be made or filed under this section may be served or filed personally, or by certified mail to the last known business address of the addressee. If served personally, the time runs from the date of service; if by registered mail, from the postmarked date of the letter enclosing the document.
    5. Hearings are open to the public, and are conducted in accordance with the provisions of chapter 35 of title 42, relating to administrative procedures, and the department’s rules of procedure for administrative hearings, and the applicant or licensee has an opportunity to be heard in person or by counsel. A hearing officer appointed by the director shall render a decision on any application or complaint within sixty (60) days after the final hearing in the matter and shall immediately notify the parties to the proceedings, in writing, of its ruling, order, or decision. In the event the matter contained in the complaint has been filed or made a part of a case pending in any court in this state, the division may then withhold its decision until the court action has been concluded. Hearings shall be held in accordance with rules promulgated by the division in conformity with law.
  1. Any unlawful act or violation of any of the provisions of this chapter by any salesperson is not cause for the suspension or revocation of the license of the broker with whom he or she is affiliated unless it appears to the satisfaction of the division of professional regulation that the broker had knowledge of the unlawful act or violation.
  2. The division of professional regulation is authorized and empowered to issue subpoenas for the attendance of witnesses and the production of records or documents. The process issued by the division may extend to all parts of the state, and process may be served by any person designated by the division. The person serving that process shall receive any compensation that is allowed by the division, not to exceed the fee prescribed by law for similar services. All witnesses subpoenaed who appear in any proceedings before the division shall receive the same fees and mileage allowances allowed by law, and all those fees and allowances are taxed as part of the cost of the proceedings.
  3. Where, in any proceeding before the division of professional regulation, any witness fails or refuses to attend upon subpoena issued by the division, or refuses to testify, or refuses to produce any records or documents, the production of which is called for by the subpoena, the attendance of the witness and the giving of his or her testimony and the production of the documents and records shall be enforced by any court of competent jurisdiction of this state in the same manner as are enforced the attendance, testimony of witnesses, and production of records in civil cases in the courts of this state.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 1985, ch. 181, art. 59, § 1; P.L. 2011, ch. 102, § 1; P.L. 2011, ch. 113, § 1; P.L. 2014, ch. 92, § 1; P.L. 2014, ch. 93, § 1.

5-20.5-16. Appeals.

  1. The provisions of the administrative procedures act, chapter 35 of title 42, and all amendments and modifications to that act and the rules adopted pursuant to the act, apply to and govern all proceedings for the judicial review of final administrative decisions of the department of business regulation. Any party aggrieved by a final administrative decision of the department may seek review of that decision in the superior court of the county of his or her residence.
  2. Any person aggrieved has the right of appeal from any adverse ruling, order, or decision of the department of business regulation to a court of competent jurisdiction in the county where the hearing was held within thirty (30) days from the service of notice of the action of the department upon the parties to the hearing.
  3. Notice of appeal shall be filed in the office of the clerk of the court, which shall issue a writ of certiorari directed to the department of business regulation, commanding it, within fifteen (15) days after service of the writ, to certify to the court its entire record in the matter in which the appeal has been taken. The appeal shall be heard, in due course, by the court, which shall review the record and, after a hearing on the matter, make its determination of the cause.
  4. A final administrative decision of the department of business regulation shall not become effective until time for appeal has expired. If an appeal is taken, it shall not act as a supersedeas unless the court so directs.
  5. Any person taking an appeal shall post a bond in the amount of one thousand dollars ($1,000) for the payment of any costs that may be assessed against him or her.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 1985, ch. 181, art. 59, § 1.

5-20.5-17. Penalties for violations.

  1. Any person acting as a broker or as a salesperson without first obtaining a license is guilty of a misdemeanor and, upon conviction, is punishable by a fine of not less than one hundred dollars ($100) nor more than five hundred dollars ($500), or by imprisonment for a term not to exceed one year, or both; and if a corporation, is punishable by a fine of not less than one thousand dollars ($1,000) nor more than two thousand dollars ($2,000). Any person upon conviction of a second or subsequent offense is punishable by a fine of not less than five hundred dollars ($500) nor more than one thousand dollars ($1,000), or by imprisonment for a term not to exceed two (2) years, or both; and if a corporation, by a fine of not less than two thousand dollars ($2,000) nor more than five thousand dollars ($5,000).
  2. In case any person has received any money, or the equivalent, as a fee, commission, compensation, or profit by or in consequence of a violation of any provision of this chapter, he or she, in addition, is liable to a penalty of not less than the amount of the sum of money received and not more than three (3) times the sum received, as may be determined by the court, which penalty may be recovered in any court of competent jurisdiction by any person aggrieved.

History of Section. P.L. 1973, ch. 215, § 2.

NOTES TO DECISIONS

Private Right of Action.

There was no error on the part of the hearing officer who held that plaintiffs could not pursue a private right of action under this statute because there was no prior determination of a violation by the director of the Department of Business Regulation. Loffredo v. Shapiro, 274 A.3d 782, 2022 R.I. LEXIS 47 (R.I. 2022).

5-20.5-18. Department assistance in educational programs.

  1. The department of business regulation is authorized to conduct, hold, or assist in conducting or holding, real estate clinics, meetings, courses, or institutes, and to incur the necessary expenses limited by connection therewith, which are open to all licensees.
  2. The department is authorized to assist educational institutions within this state in sponsoring studies, research, and programs for the purpose of raising the standards of professional practice in real estate and the competence of licensees in the public interest.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 1985, ch. 181, art. 59, § 1.

5-20.5-19. Real estate courses and schools — Regulation — Issue and revocation of permits — Exceptions.

  1. The division of professional regulation is authorized and empowered to formulate rules and regulations relative to the establishment and operation of schools, courses of study, instruction, grades and grading systems, and related matters. The division and the council on postsecondary education have the power at any time to review the curriculum of those courses.
  2. Any school, individual, or organization that offers or conducts any course or courses of study in real estate, or any course or courses designed or represented to enable or assist non-licensees or applicants for license to pass examinations conducted by the division of professional regulation, shall first obtain a permit from, and subsequently abide by the rules and regulations of, the division covering those schools.
  3. The division has authority to suspend or revoke the permit of any school, individual, or organization for violation of the provisions of this chapter or of the rules and regulations promulgated pursuant to this chapter. The provisions of this section do not apply to any college or university that has been accredited by any accrediting body approved by the council on postsecondary education.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 1974, ch. 173, § 1; P.L. 1985, ch. 181, art. 59, § 1.

5-20.5-20. Real estate school permit — Fees — Penalty for operation without permit prohibited.

  1. It is unlawful for any school to offer courses or to conduct classes of instruction in real estate subjects without first procuring a permit; or having obtained a permit, to represent that its students are assured of passing examinations given by the division of professional regulation, or to represent that the issuance of a permit is a recommendation or endorsement of the school to which it is issued, or of any course of instruction given by it.
  2. The application of each school shall be accompanied by a first-year license fee of two hundred fifty dollars ($250) and a further fee of one hundred dollars ($100) multiplied by the remaining term of licensure. If issued, the license is renewable on the payment of a renewal fee assessed at the rate of one hundred fifty dollars ($150) per annum. The total fee for the entire term of initial licensure and renewal shall be paid at the time of application.
  3. In the event that any person is found guilty of violating this section in the operation of a school, or any rule or regulation adopted pursuant to this section, or attempts to continue to operate as a school after the revocation or during a period of suspension of a permit, he or she is guilty of a misdemeanor.
  4. The department of business regulation shall promulgate rules and regulations mandating the term of license and the term of renewal of each permit issued. No license shall remain in force for a period in excess of three (3) years.

History of Section. P.L. 1973, ch. 215, § 2; P.L. 1985, ch. 181, art. 59, § 1; P.L. 1987, ch. 184, § 3; P.L. 2004, ch. 595, art. 30, § 3.

5-20.5-21. Actions for recovery of fee or commission.

Except as provided in this chapter, no person shall maintain an action in any court of this state for the recovery of a commission, fee, or compensation for any act done, the doing of which is prohibited under this chapter to other than licensed brokers, unless that person was licensed under this chapter as a broker at the time of the doing of the act.

History of Section. P.L. 1973, ch. 215, § 2.

NOTES TO DECISIONS

Action for Recovery of Fee.

Where the trial justice improperly interpreted the brokerage agreement and never determined whether plaintiff met the burden of proof to establish sufficient performance, the plaintiff had made out a prima facie case for recovery and the trial justice could not upon such a record correctly grant the motion to dismiss. Judd Realty v. Tedesco, 400 A.2d 952, 1979 R.I. LEXIS 1804 (R.I. 1979).

In action for the recovery of a brokerage fee it was not necessary that the plaintiff prove that it was duly licensed under the provision of the former chapter. Cottrell v. Lally, 94 R.I. 485 , 182 A.2d 302, 1962 R.I. LEXIS 109 (1962) (decided under prior law).

One licensed as a real estate broker in Connecticut, but not in Rhode Island, who procured a tenant from New York for real estate in Rhode Island pursuant to employment by the Rhode Island owner of the property could not maintain an action for his commission for such services. Poverman v. Walnut Hill Plaza, Inc., 261 F. Supp. 176, 1966 U.S. Dist. LEXIS 7542 (D.R.I. 1966) (decided under prior law).

Finders.

A person acting as a finder rather than a broker is not required to hold a real estate broker’s license. Bottomley v. Coffin, 121 R.I. 399 , 399 A.2d 485, 1979 R.I. LEXIS 1789 (1979).

Performance.

A broker has sufficiently performed and is entitled to compensation under a brokerage contract when the broker has produced a prospective purchaser who is ready, willing, and able to purchase at the price and terms of the seller, except where a special contract delineates what constitutes performance thereunder. Judd Realty v. Tedesco, 400 A.2d 952, 1979 R.I. LEXIS 1804 (R.I. 1979).

Where a brokerage agreement contained no language indicating any intention of the parties to depart from the general rule regarding sufficient performance, the trial justice erred as a matter of law in construing the term “purchase” to mean “someone who actually purchases the property.” Judd Realty v. Tedesco, 400 A.2d 952, 1979 R.I. LEXIS 1804 (R.I. 1979).

Want of License as Defense.

Where a broker sued to recover his fee, but was not licensed under the provisions of the former chapter, a defendant who desired to preclude the exercise of jurisdiction by the court on that ground should do so by a plea in abatement. Cottrell v. Lally, 94 R.I. 485 , 182 A.2d 302, 1962 R.I. LEXIS 109 (1962) (decided under prior law).

Summary judgment was properly entered in favor of a Rhode Island property owner in an action to recover a commission by a corporate real estate brokerage licensed in Connecticut; the plain language of the statute precluded recovery in quantum meruit by a broker not licensed in Rhode Island, even if it employed brokers who were licensed. New Eng. Retail Props. v. Commerce Park Assocs. 11, LLC., 824 A.2d 504, 2003 R.I. LEXIS 170 (R.I. 2003).

Collateral References.

Illegality of transaction or proposed transaction as affecting right of real estate broker to commission for promoting it. 85 A.L.R. 274.

Knowledge, actual or imputable, of defect or condition preventing consummation of sale as affecting real estate broker’s right to commissions. 156 A.L.R. 1398.

Licensed real estate broker’s right to compensation as affected by lack of license on the part of partners, coadventurers, employees, or associations. 42 A.L.R.3d 1430.

Principal’s right to recover commissions paid by him or by third person to unfaithful agent or broker. 134 A.L.R. 1346.

Real estate broker’s right to recover damages in tort upon ground that he was wrongfully prevented from earning or collecting commission. 146 A.L.R. 1417.

5-20.5-22. Severability.

If any provision of this chapter is held invalid, that provision is deemed to be excised from this chapter and its invalidity does not affect any of the other provisions of this chapter. If the application of any provision of this chapter to any person or circumstance is held invalid, it does not affect the application of that provision to those persons or circumstances other than those to which it is held invalid.

History of Section. P.L. 1973, ch. 215, § 2.

5-20.5-23. [Repealed.]

History of Section. P.L. 1989, ch. 343, § 1; Repealed by P.L. 1992, ch. 425, § 5, effective June 1, 1993.

Compiler’s Notes.

Former § 5-20.5-23 concerned the disclosure of pyschologically impacted property.

5-20.5-24. [Repealed.]

History of Section. P.L. 1990, ch. 257, § 1; Repealed by P.L. 2011, ch. 102, § 2, effective June 22, 2011; P.L. 2011, ch. 113, § 1, effective June 27, 2011.

Compiler’s Notes.

Former § 5-20.5-24 concerned name change of “salesman” to “salesperson.”

5-20.5-25. Errors and omissions insurance required of real estate licensees.

  1. All holders of real estate brokers’ and salespersons’ licenses issued by the state department of business regulation shall, as a condition of retaining that license, carry and maintain errors and omissions insurance covering all business activities contemplated.
  2. Licensees shall obtain errors and omissions insurance independently. The coverage contained in the policy shall comply with the minimum requirements established by the department of business regulation.
  3. The department of business regulation shall determine the terms and conditions of coverage mandated under this section, including, but not limited to, the minimum limits of coverage; the permissible deductible; and permissible exemptions. The department of business regulation shall seek the assistance of the real estate commission as to the terms and conditions of coverage.
  4. A certificate of coverage must be filed with the department of business regulation by the annual license renewal date by each licensee.

History of Section. P.L. 1990, ch. 412, § 1; P.L. 1993, ch. 66, § 1; P.L. 2000, ch. 202, § 1.

5-20.5-26. Escrows.

  1. Escrow.
    1. Escrow accounts.
      1. Each real estate firm shall maintain an escrow account under the supervision of the broker qualified to do business in the name and on behalf of the corporate, partnership, or association licensee. All those funds paid to a salesperson or paid directly to a broker shall be segregated on the broker’s books and deposited in an account in a recognized federally insured financial institution in Rhode Island separate from any account containing funds owned by the broker. A broker or salesperson shall not commingle deposit money or other customers’ funds and his or her own funds; use a customer’s fund as his or her own; or fail to keep an escrow or trustee account of funds deposited with him or her relating to a real estate transaction, for a period of three (3) years, showing to whom the money belongs; date deposited; date of withdrawal; to whom paid; and any other pertinent information that the commission requires. Those records are to be available to the commission and the department or their representatives, on demand, or upon written notice given to the depository. Each broker/office supervisor shall maintain a monthly report as to the status of that office’s escrow account and is responsible for its accuracy.
      2. A multi-office firm may either have an escrow account for each office or one central escrow account for the firm.
      3. Funds held in escrow may be applied to the commission when earned by the listing company.
      4. Whenever the ownership of any deposit monies received by a broker or salesperson pursuant to this section is in dispute by the parties to a real estate transaction, the broker or salesperson shall deposit the monies with the general treasurer within one hundred eighty (180) days of the date of the original deposit, those monies to be held in trust by the general treasurer until the dispute is mediated, arbitrated, litigated, or otherwise resolved by the parties. The parties to a real estate transaction may agree in writing to extend the time period by which the monies must be deposited with the general treasurer in accordance with regulations promulgated by the department of business regulation.
      5. The department of business regulation shall have the authority to promulgate rules and regulations with respect to such escrow accounts and the deposit of monies with the general treasurer.
    2. Escrow agents.  Funds or deposits placed in escrow may be held by any person or entity legally authorized to hold funds in that capacity, e.g., the real estate broker or attorney.
  2. Dual activities.  In all real estate transactions in which a broker holds more than one title, e.g., builder, contractor, or insurance agent, all deposit monies received must be placed in the broker’s real estate escrow account, unless there is a contractual agreement between the principals to the contrary.
  3. Unlawful appropriation.  Pursuant to § 11-41-11.1 , any licensee to whom any money or other property is entrusted as escrow funds, who intentionally appropriates to the licensee’s own use that money or property, or transfers the funds from an escrow account to a company or personal account prior to a closing, is guilty of unlawful appropriation.
  4. Release of funds.  An escrow agent shall pay sums of money being held in an escrow account as instructed by the parties to a failed real estate transaction, within ten (10) days of receipt of a written release that has been signed by all the parties to the failed real estate transaction.

History of Section. P.L. 1996, ch. 185, § 2; P.L. 2001, ch. 114, § 1; P.L. 2011, ch. 102, § 1; P.L. 2011, ch. 113, § 1; P.L. 2017, ch. 47, § 1; P.L. 2017, ch. 55, § 1.

5-20.5-27. License required for ownership.

No person, firm, or corporation shall have an ownership interest in a real estate brokerage firm nor participate in the operation of the real estate brokerage firm unless the person, firm, or corporation holds a valid real estate broker’s license, issued pursuant to the provisions of this chapter.

History of Section. P.L. 1998, ch. 115, § 2; P.L. 2011, ch. 102, § 1; P.L. 2011, ch. 113, § 1.

5-20.5-28. Order to cease unsafe practices — Appeal.

If the department of business regulation has reason to believe that any person, firm, corporation, or association is conducting any activities requiring licensure under this chapter without obtaining a license, or who after the denial, suspension, or revocation of a license conducts any activities requiring licensure under this chapter, the department may issue its order to that person, firm, corporation, or association commanding them to appear before the department at a hearing to be held not sooner than ten (10) days nor later than twenty (20) days after issuance of that order to show cause why the department should not issue an order to that person to cease and desist from the violation of the provisions of this chapter. The order to show cause may be served on any person, firm, corporation, or association named in the order in the same manner that a summons in a civil action may be served, or by mailing a copy of the order, certified mail, return receipt requested, to that person at any address at which he or she has done business or at which he or she lives. If upon that hearing the department is satisfied that the person is in fact violating any provision of this chapter, then the department may order that person, in writing, to cease and desist from that violation. All hearings shall be governed in accordance with the administrative procedures act, chapter 35 of title 42. If that person fails to comply with an order of the department after being afforded a hearing, the superior court in the county where the land or real estate is located has jurisdiction upon complaint of the department to restrain and enjoin that person from violating this chapter.

History of Section. P.L. 1999, ch. 183, § 1.

Chapter 20.6 Relationships in Residential Real Estate Transactions

5-20.6-1. Legislative purpose.

  1. The way that consumers buy, sell, rent, exchange, and otherwise transfer real estate has changed over the years. The purpose of this legislation is to provide consumers with choice.
  2. This chapter is intended to abrogate the common law of agency relative to relationships in regulated real estate transactions to the extent that they are inconsistent with this chapter.
  3. Unless otherwise specified by written agreement, a licensee owes only those duties and obligations set forth under this chapter, chapter 20.5 of this title, and the regulations promulgated thereunder. A licensee does not owe a fiduciary duty under the common law of agency to his or her clients and is not subject to equitable remedies for breach of fiduciary duty.
  4. Nothing in this chapter shall prohibit a principal broker and his or her affiliated licensees from entering into a written representation contract with a buyer, seller, tenant, or landlord that creates a relationship in which the duties and obligations are greater than those provided in this chapter.

History of Section. P.L. 1989, ch. 141, § 2; P.L. 1990, ch. 425, § 2; P.L. 2007, ch. 344, § 1; P.L. 2007, ch. 403, § 1.

NOTES TO DECISIONS

In General.

Since R.I. Gen. Laws tit. 5, chs. 20.8 and 20.6 create a duty on the part of real estate agents to disclose to potential buyers of real property any material defects, as defined in the Real Estate Sales Disclosure Act, R.I. Gen. Laws tit. 5, ch. 20.8, when such disclosable defects are within the agent’s personal knowledge, and the agents know or should know that the buyer is acting under a misapprehension concerning facts which would be important to the buyer and could probably affect its decision, an alleged breach of that duty could be the basis for a negligence claim or a negligent omission claim, and, in the case of the buyer’s own agent, a breach-of-fiduciary-duty claim. Stebbins v. Wells, 818 A.2d 711, 2003 R.I. LEXIS 69 (R.I. 2003).

Collateral References.

What constitutes financial ability to perform within rule entitling broker to commission for producing ready, willing, and able purchaser of real property. 87 A.L.R.4th 11.

5-20.6-2. Definitions.

As used in this chapter, the following terms shall have the following meanings:

  1. “Affiliated licensee” means a licensed real estate salesperson or real estate broker as defined in § 5-20.5-1 associated with a particular principal broker.
  2. “Brokerage” means a principal broker as defined in § 5-20.5-8 and his or her affiliated licensees.
  3. “Buyer” means a person who acquires or seeks to acquire an ownership interest in real estate.
  4. “Client” means a buyer, seller, tenant, or landlord who has agreed to representation by a licensee in a real estate transaction, evidenced by an executed, mandatory relationship disclosure, to whom a licensee owes the duties set forth in § 5-20.6-5 .
  5. “Client representation contract” means an express, written contract between a principal broker or his or her affiliated licensees and a client who authorizes the principal broker or his or her affiliated licensees to act as a client representative for a buyer, seller, landlord, or tenant and meets the requirements of § 5-20.6-10 .
  6. “Confidential information” means the following information:
    1. A buyer’s or tenant’s willingness to pay more than the offered price;
    2. A seller’s or landlord’s willingness to accept less than the asking price;
    3. A buyer’s or tenant’s previous offers made to purchase or lease real estate;
    4. A seller’s or landlord’s previous offers received to purchase or lease real estate;
    5. Any parties’ motivating factors;
    6. Any parties’ willingness to agree to other financing terms;
    7. Any facts or suspicions regarding circumstances, other than known, material defects of a property that a licensee must in all cases disclose, that may psychologically impact or stigmatize any real estate; or
    8. Any information about a party’s assets, liabilities, income, or expenses.
  7. “Customer” means a buyer, seller, tenant, or landlord who has agreed to certain assistance by a licensee in a real estate transaction, evidenced by an executed, mandatory relationship disclosure, to whom a licensee owes the duties set forth in § 5-20.6-4 .
  8. “Designated client representative” means an affiliated licensee appointed by the principal broker or his or her designee to represent a buyer, seller, tenant, or landlord in a real estate transaction. The affiliated licensee so designated shall obtain the informed, written consent of the buyer, seller, tenant, or landlord with a signed mandatory relationship disclosure pursuant to § 5-20.6-8 .
  9. “Designee” means an associate broker as defined in § 5-20.5-1 whom a principal broker authorizes to act on his or her behalf.
  10. “Director” means the director of business regulation for the state.
  11. “Dual facilitator” means a single licensee who, with the prior written consent of both parties, assists a seller client and a buyer client in the same transaction subject to the limitations set forth in § 5-20.6-6 .
  12. “Landlord” means a person who leases or attempts to lease his or her ownership interest in real estate to another person.
  13. “Lease” means an express written or oral contract between a landlord and tenant for the use or occupancy by the tenant of real estate that is owned by another person.
  14. “Licensee” means an individual licensed by the director as a real estate broker or real estate salesperson pursuant to chapter 20.5 of this title.
  15. “Mandatory relationship disclosure” means a form that describes the relationship between a consumer and a principal broker and his or her affiliated licensees that meets the requirements of § 5-20.6-8 .
  16. “Ministerial acts” means acts of an administrative nature that licensees perform for client or customers, including, but not limited to, showing property; preparing offers or agreements to sell, purchase, exchange, rent, or lease; conveying offers or agreements to the parties; and providing information and assistance.
  17. “Principal broker” means a real estate broker licensed by the director who is designated by the brokerage to be responsible for the supervision and activities of his or her affiliated licensees in accordance with this chapter and chapter 20.5 of this title.
  18. “Real estate” refers to vacant land on which a building is intended to be constructed for use as one or two (2) residential dwellings or land with physical improvements consisting of a house and/or structure comprised of four (4) or fewer residential units.
  19. “Sales agreement” means an express written contract signed by the buyer and seller for the purchase and sale of the real estate.
  20. “Sell,” “sale,” or “sold” means a transaction for the transfer of real estate from a seller to a buyer, including, but not limited to, exchanges of real estate between the seller and buyer and transactions involving the creation of a sales agreement.
  21. “Seller” means a person who sells or attempts to sell an ownership interest in real estate to another person.
  22. “Tenant” means a person who acquired or seeks to acquire an interest in real estate that entitles him or her to occupy or use a property that is owned by another person.
  23. “Transaction coordinator” means a principal broker or his or her designee who supervises a real estate transaction in a capacity in which one affiliated licensee represents a buyer or tenant as a designated client representative and another affiliated licensee represents a seller or landlord as a designated client representative in the same transaction. A transaction coordinator does not owe any fiduciary duties to any party in a transaction except the duties to protect the confidential information of the parties and to properly account for money placed in his or her care.
  24. “Transaction facilitator” means a licensee who provides assistance to a buyer, seller, tenant, or landlord, or both, in a real estate transaction. A transaction facilitator does not owe any fiduciary duties to any party in a transaction but does owe the duties set forth in § 5-20.6-4 .

History of Section. P.L. 1989, ch. 141, § 2; P.L. 2007, ch. 344, § 1; P.L. 2007, ch. 403, § 1; P.L. 2009, ch. 310, § 28; P.L. 2011, ch. 352, § 1; P.L. 2011, ch. 364, § 1; P.L. 2013, ch. 27, § 2; P.L. 2013, ch. 38, § 2; P.L. 2014, ch. 528, § 2.

Collateral References.

What constitutes financial ability to perform within rule entitling broker to commission for producing ready, willing, and able purchaser of real property. 87 A.L.R.4th 11.

5-20.6-3. Relationships — Creation and presumption.

  1. It shall be presumed that all licensees in a real estate transaction are transaction facilitators unless the licensee obtains the informed, written consent of a buyer, seller, tenant, or landlord with an executed mandatory relationship disclosure to represent that person as a designated client representative.
  2. The provisions of this chapter are expressly intended to abrogate the common law of agency; no type of agency representation shall be assumed by a brokerage, principal broker, licensee, buyer, seller, tenant, or landlord nor shall agency representation be created by implication.
  3. Types of relationships.  The following types of relationships are recognized:
    1. Assistance as a transaction facilitator to assist one or more customers; and
    2. Representation of a buyer, seller, tenant, or landlord as a designated client representative.

History of Section. P.L. 1989, ch. 141, § 2; P.L. 1990, ch. 425, § 2; P.L. 2007, ch. 344, § 1; P.L. 2007, ch. 403, § 1; P.L. 2013, ch. 27, § 2; P.L. 2013, ch. 38, § 2; P.L. 2014, ch. 528, § 2.

5-20.6-4. Duties owed by a transaction facilitator to a customer.

  1. A transaction facilitator owes the following duties to a customer:
    1. To perform agreed-upon ministerial acts timely and competently;
    2. To perform these acts with honesty, good faith, reasonable skill, and care;
    3. To properly account for money or property placed in the care and responsibility of the principal broker; and
    4. To protect confidential information when assisting customers as a dual facilitator.
  2. A licensee acting as a transaction facilitator does not owe any fiduciary duties to a customer except those duties specified in subsection (a).

History of Section. P.L. 1989, ch. 141 § 2; P.L. 1990, ch. 425, § 2; P.L. 1993, ch. 397, § 1; P.L. 2007, ch. 344, § 1; P.L. 2007, ch. 403, § 1; P.L. 2013, ch. 27, § 2; P.L. 2013, ch. 38, § 2; P.L. 2014, ch. 528, § 2.

Collateral References.

What constitutes financial ability to perform within rule entitling broker to commission for producing ready, willing, and able purchaser of real property. 87 A.L.R.4th 11.

5-20.6-5. Duties owed by a designated client representative to client.

  1. If an affiliated licensee is appointed by the principal broker or his or her designee to represent a buyer, seller, tenant, or landlord in a real estate transaction and obtains the written consent of a buyer, seller, tenant, or landlord with an executed, mandatory relationship disclosure to represent that person as a designated client representative, the licensee owes the following legal duties and obligations to his or her client:
    1. To perform the terms of the client representation contract, if any, with reasonable skill and care;
    2. To promote the client’s best interest in good faith and honesty;
    3. To protect the client’s confidential information during the relationship and after its termination;
    4. To perform agreed-upon ministerial acts timely and competently;
    5. To perform these acts with honesty, good faith, reasonable care, and skill; and
    6. To properly account for money or property placed in the care and responsibility of the principal broker.
  2. A principal broker or his or her designee may appoint one or more affiliated licensees to act as the designated client representative(s) of a seller or landlord and one or more affiliated licensees to act as the designated client representative(s) of a buyer or tenant in the same transaction; provided; that, all parties to the transaction receive written notice that an inherent conflict of interest may exist when designated client representatives are affiliated with the same principal broker.
  3. A designated client representative of a seller client or landlord client shall have no duty to protect the confidential information of a buyer customer or tenant customer involved in a transaction with his or her client. Conversely, a designated client representative of a buyer client or tenant client shall have no duty to protect the confidential information of a seller customer or landlord customer involved in a transaction with his or her client.
  4. In the event that one or more affiliated licensees represent a seller as a designated client representative and one or more affiliated licensees represent the buyer as a designated client representative in the same transaction, the principal broker or his or her designee shall act in a capacity as the transaction coordinator and shall protect the confidential information of all parties to the transaction and properly account for funds.
  5. No affiliated licensees of the principal broker, other than those licensee(s) specifically designated to represent the client as a designated client representative, shall represent the client or owe any other duties except that affiliated licensees not appointed to represent a client in a transaction shall have the duty to protect the client’s confidential information.
  6. All other affiliated licensees of the principal broker not appointed as a designated client representative for a party in a real estate transaction may represent another party with conflicting interests in the same transaction.
  7. A designated client representative is exclusively responsible for the performance of any duties owed to the client.
  8. An appointment of a designated client representative by a principal broker or his or her designee to represent a client shall not limit the principal broker’s liability or responsibility for any breach of duty owed to a client by the designated client representative.

History of Section. P.L. 1989, ch. 141, § 2; P.L. 2007, ch. 344, § 1; P.L. 2007, ch. 403, § 1; P.L. 2013, ch. 27, § 2; P.L. 2013, ch. 38, § 2; P.L. 2014, ch. 528, § 2.

5-20.6-6. Dual facilitator.

  1. A licensee may assist both the buyer client and the seller client or tenant client and landlord client in the same transaction only as a neutral dual facilitator.
  2. The dual facilitator relationship between the licensee and buyer and seller, or between the licensee and tenant client and landlord client, exists solely for the specific transaction between the parties. In the event the transaction is not completed or fails to close, then the dual facilitator remains the designated client representative for the respective buyer and the seller or tenant and landlord in all future, separate transactions where there is no relationship with the other party.
  3. A licensee may be a neutral dual facilitator only after he or she has obtained the informed, written consent of his or her principal broker and all parties involved in the transaction before presenting an offer to a seller client on behalf of a buyer client or to a landlord client on behalf of a tenant client. Such consent shall specifically inform all parties to the transaction of the following:
    1. The dual facilitator is authorized to assist both parties in a transaction but shall be neutral as to any conflicting interests between the parties to the transaction;
    2. A dual facilitator shall owe a duty to protect the confidential information of all parties and a duty to account for funds;
    3. Confidential information obtained by a dual facilitator from either party may not be disclosed except:
      1. If disclosure is expressly authorized;
      2. If such disclosure is required by law;
      3. If such disclosure is intended to prevent illegal conduct; or
      4. If such disclosure is necessary to prosecute a claim against a person represented or to defend a claim against the licensee. The duty to protect confidential information shall continue after the completion of the transaction; and
    4. If a comparative market analysis was prepared for a seller client or a buyer client and a dual facilitation situation subsequently arises, the dual facilitator may only provide the comparative market analysis to the other party with the prior consent of the party for whom it was initially prepared. A dual facilitator shall not be able to prepare a comparative market analysis for either party after a dual facilitation situation arises as it may adversely affect one party’s bargaining position relative to the other party.

      In the event that either the seller client or buyer client in the case of a sale of property, or the landlord client and the tenant client in the case of a rental of property, does not consent to dual facilitation, then the principal broker or his or her designee, may, with the consent of the party(ies) withholding consent designate another licensee to represent one of the parties as a designated client representative.

      In the event that an affiliated licensee is acting as a dual facilitator, the principal broker or his or her designee shall act as a transaction coordinator in the transaction and shall protect the parties’ confidential information. In the event that the clients of a principal broker consent to his or her acting as a disclosed dual facilitator, the principal broker may also oversee the transaction as a transaction coordinator.

History of Section. P.L. 1989, ch. 141, § 2; P.L. 1990, ch. 425, § 2; P.L. 2007, ch. 344, § 1; P.L. 2007, ch. 403, § 1; P.L. 2013, ch. 27, § 2; P.L. 2013, ch. 38, § 2; P.L. 2014, ch. 528, § 2.

5-20.6-7. Duty to protect confidential information.

  1. Unless otherwise authorized in subsection (b), a licensee may not disclose the confidential information of: (i) A client, in the case of a designated client representative; or (ii) A customer, in the case of a dual facilitator or transaction coordinator; or (iii) Any represented party, in the case of an affiliated licensee who is not appointed a designated client representative, without the client or customer’s consent.
  2. A licensee may disclose confidential information that is a matter of general knowledge or a part of a public record or file to which access is authorized, or when necessary to defend the licensee against a claim brought by the client, or is otherwise subject to disclosure by law.
  3. A principal broker shall implement reasonable procedures to protect the confidential information of all clients of designated client representatives and, as required by this chapter, to protect the confidential information of customers of transaction facilitators. A designated client representative shall have no duty to protect confidential information of a party not a client unless the confidential information of the party was previously acquired by the designated client representative as a result of a prior client or transaction facilitator relationship with the party.

History of Section. P.L. 1989, ch. 141, § 2; P.L. 1990, ch. 425, § 2; P.L. 2007, ch. 344, § 1; P.L. 2007, ch. 403, § 1.

5-20.6-8. Mandatory relationship disclosure.

  1. The Rhode Island real estate commission shall approve a mandatory relationship disclosure that conforms to the requirements of this section.
  2. A licensee shall provide a prospective buyer, seller, tenant, or landlord in a real estate transaction with a copy of the mandatory relationship disclosure and shall obtain a signed acknowledgement of receipt from the buyer, seller, tenant, or landlord prior to the disclosure of any confidential information. If a buyer, seller, tenant, or landlord refuses to sign an acknowledgement of receipt, the licensee shall set forth, sign, and date a written declaration of the facts of the refusal.
  3. The mandatory relationship disclosure shall contain the following information:
    1. A list of the types of representation or assistance available to a prospective buyer, seller, tenant, or landlord consistent with § 5-20.6-3 ;
    2. A statement that a principal broker and his or her affiliated licensees must disclose their relationship as a designated client representative, transaction facilitator, or transaction coordinator to the buyer, seller, tenant, or landlord in any transaction;
    3. The legal duties and obligations owed to the buyer, seller, tenant, or landlord in each type of relationship as set forth in this chapter and chapter 20.5 of this title;
    4. A conspicuous notice that a licensee cannot act as a client representative for a prospective buyer, seller, tenant, or landlord unless the licensee obtains the informed, written consent of a prospective buyer, seller, tenant, or landlord with a signed, mandatory relationship disclosure;
    5. A box for the client or customer to select the type of representation or assistance that he or she desires;
    6. A box for the client or customer to acknowledge the type of representation or assistance that a real estate licensee is offering to the other party in the same transaction.
    7. A statement that a principal broker may designate one or more affiliated licensees to act as the designated client representative(s) of a seller or landlord and one or more affiliated licensees to act as the designated client representative(s) of a buyer or tenant in the same transaction; provided, that the licensee obtains the consent from the client being represented;
    8. A statement that, when the principal broker or his or her designee appoints designated client representatives to represent clients on different sides of a transaction, he or she shall: (i) Act in a neutral capacity as a transaction coordinator; (ii) Protect all parties’ confidential information; and (iii) Properly account for funds;
    9. A statement that all affiliated licensees not appointed as a designated client representative for the client may represent another party in a transaction with conflicting interests;
    10. An explanation of the potential conflicts of interest that exist if a licensee acts for more than one party in the same transaction;
    11. A statement that a principal broker and his or her affiliated licensees must disclose their relationship as a designated client representative, transaction facilitator, or transaction coordinator to the buyer, seller, tenant, or landlord in any transaction;
    12. A statement that the failure of a licensee to timely give a prospective buyer, seller, tenant, or landlord the mandatory relationship disclosure, or the failure of a licensee to obtain any other written consent required by this chapter, shall be a violation of Rhode Island real estate license law and may subject the licensee to disciplinary action;
    13. A statement that if a consumer desires to change the nature of a relationship with a licensee from a customer relationship to a client relationship that a licensee’s relationship with a buyer, seller, tenant, or landlord as a designated client representative must be established no later than the preparation of a sales agreement, offer to purchase, or lease; and
    14. Written confirmation from each party signing the mandatory relationship disclosure that he or she has received, read, and understood this mandatory relationship disclosure and has consented to the relationship confirmed above.
  4. In all instances, a licensee’s relationship with a buyer, seller, tenant, or landlord as a designated client representative must be established, and the mandatory relationship disclosure executed, no later than the preparation of a sales agreement, offer to purchase, or lease.

History of Section. P.L. 1993, ch. 397, § 3; P.L. 2007, ch. 344, § 1; P.L. 2007, ch. 403, § 1; P.L. 2013, ch. 27, § 2; P.L. 2013, ch. 38, § 2; P.L. 2014, ch. 528, § 2.

5-20.6-9. Written requirement for representation of a client.

  1. A licensee shall not act as a designated client representative until the licensee has complied with § 5-20.6-8 .
  2. Each principal broker shall keep a receipt of the executed, mandatory relationship disclosure in accordance with § 5-20.5-8(b).

History of Section. P.L. 2007, ch. 344, § 2; P.L. 2007, ch. 403, § 2.

5-20.6-10. Client representation contract — Minimum requirements.

If a seller, buyer, landlord, or tenant and principal broker elect to enter into a client representation contract, the contract shall meet the following requirements:

  1. Be an express, written contract;
  2. Include terms of compensation;
  3. Describe all services and limitations on services to be performed by the principal broker and his or her affiliated licensees;
  4. State that a principal broker may appoint one or more affiliated licensees to act as the designated client representative(s) for a seller or landlord and one or more affiliated licensees to act as the designated client representative(s) for a buyer or tenant in the same transaction after a licensee has obtained consent from the client being represented; and
  5. Be signed by all parties.

History of Section. P.L. 2007, ch. 344, § 2; P.L. 2007, ch. 403, § 2.

5-20.6-11. Relationship and compensation.

The payment or promise of payment or compensation to a licensee does not create an agency relationship between any licensee and buyer, seller, tenant, or landlord.

History of Section. P.L. 2007, ch. 344, § 2; P.L. 2007, ch. 403, § 2.

5-20.6-12. Rules and regulations.

The director shall issue reasonable rules and regulations with the consent of the majority of the Rhode Island real estate commission governing the relationships of licensed real estate brokers and salespersons. These rules and regulations shall be designed to implement the laws and policies of this state and to protect the interests of the public.

History of Section. P.L. 2007, ch. 344, § 2; P.L. 2007, ch. 403, § 2.

5-20.6-13. Penalty for violation.

  1. Each violation of this chapter by a licensee shall constitute a violation of law pursuant to chapter 20.5 of this title and the regulations promulgated thereunder and may subject the licensee to disciplinary action.
  2. Failure to provide the mandatory relationship disclosure in accordance with § 5-20.6-8 does not void the sales agreement nor create any defect in title.

History of Section. P.L. 2007, ch. 344, § 2; P.L. 2007, ch. 403, § 2.

Chapter 20.7 Real Estate Appraiser Certification Act

5-20.7-1. Short title.

This chapter shall be known and may be cited as the “Rhode Island Real Estate Appraiser Certification Act.”

History of Section. P.L. 1990, ch. 424, § 1.

5-20.7-2. Definitions.

When used in this chapter, unless the context indicates otherwise:

  1. “Appraisal” or “real estate appraisal” means an analysis, opinion, or conclusion relating to the nature, quality, value, or utility of specified interests in, or aspects of, identified real estate. An appraisal may be classified by subject matter into either a valuation or an analysis. A “valuation” is an estimate of the value of real estate or real property. An “analysis” is a study of real estate or real property other than estimating value.
  2. “Appraisal Foundation” means the Appraisal Foundation incorporated as an Illinois not-for-profit corporation on November 30, 1987. The purposes of the Appraisal Foundation are:
    1. To establish and improve uniform appraisal standards by defining, issuing, and promoting such standards;
    2. To establish appropriate criteria for the certification, licensing, and recertification of qualified appraisers by defining, issuing, and promoting that qualification criteria; to disseminate that qualification criteria to states, governmental entities, and others; and
    3. To develop or assist in the development of appropriate examinations for qualified appraisers.
  3. “Appraisal report” means any communication, written or oral, of an appraisal.
  4. “Board” means the real-estate appraisal board established pursuant to the provisions of this chapter.
  5. “Certified appraisal” or “certified appraisal report” means an appraisal or appraisal report given or signed and certified as such by a state-certified real estate appraiser or state-licensed real estate appraiser. When identifying an appraisal or appraisal report as “certified,” the state-certified real estate appraiser shall indicate on it whether he or she has been licensed or certified as a residential or general state-certified real estate appraiser. A certified appraisal or appraisal report represents to the public that it meets the appraisal standards defined in this chapter.
  6. “Department” means the department of business regulation.
  7. “Director” means the director of the department of business regulation.
  8. “Real estate” means an identified parcel or tract of land, including improvements, if any.
  9. “Real property” means one or more defined interests, benefits, and rights inherent in the ownership of real estate.
  10. “State-certified real estate appraiser” means a person who develops and communicates real estate appraisals and who holds a current, valid certificate issued to him or her for either general or residential real estate under the provisions of this chapter. A duly certified appraiser is not required to hold a real estate broker’s or salesperson’s license under chapter 20.5 of this title.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1.

5-20.7-3. Certification required.

  1. No person, other than persons certified in accordance with the provisions of this chapter, shall assume or use that title or any title, designation, or abbreviation likely to create the impression of certification as a real estate appraiser by this state. A person who is not certified pursuant to this chapter shall not describe or refer to any appraisal or other valuation of real estate located in the state by the term “certified.”
  2. This chapter precludes any person who is not certified as a state-certified real estate appraiser from appraising real property for compensation under chapter 20.5 of this title; provided, however, that this chapter does not preclude any person who holds a license pursuant to chapter 20.5 of this title and, in the ordinary course of business, from giving a written or oral opinion of value of real estate for the purposes of a prospective listing, purchase, sale, or business valuation; provided, however, that such opinion of value shall not be referred to as an appraisal.
  3. Nothing in this chapter shall preclude a trainee directly supervised by a certified appraiser from assisting in or preparing a certified appraisal and signing such appraisal provided the appraisal is approved and signed by a certified appraiser as appropriate.
  4. Any appraisal conducted by an institution licensed in this state to accept deposits in connection with a loan transaction, other than those conducted by:
    1. Federally or NCUA insured banks, savings banks, or credit unions; or
    2. Persons regulated or licensed under title 19 or any transactions, municipal or state, regardless of monetary value, shall require an appraisal by a licensed or certified appraiser.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1994, ch. 266, § 2; P.L. 1997, ch. 295, § 1; P.L. 2006, ch. 217, § 1; P.L. 2006, ch. 357, § 1; P.L. 2009, ch. 310, § 29.

5-20.7-4. Creation of board — Composition — Appointment, terms, and compensation of members.

    1. Within the department of business regulation, there is created the Rhode Island real estate appraisers board which shall consist of ten (10) members to be appointed by the governor. Six (6) of the board members shall be practicing appraisers and, for the initial board appointment, shall be members in good standing of one of the following professional associations or the successor associations: the American Institute of Real Estate Appraisers, the Society of Real Estate Appraisers, the International Right of Way Association, the National Association of Independent Fee Appraisers, or the International Association of Assessing Officers. Where possible, at least one but not more than two (2) appraiser appointments shall be from the membership of each of these professional organizations.
    2. One board member shall be a member of the general public, and shall not be engaged in the practice of real estate appraisal. One board member shall hold a real estate license under chapter 20.5 of this title and shall not be a state-certified real estate appraiser. One member shall be a representative of the Rhode Island banking industry. The director of the department of business regulation or his or her designee shall serve at all times as a member of the board ex officio without voting privileges.
    3. The term of office of the initial members and the powers of the initial board expire on December 31, 1991.
  1. Commencing January 1, 1992, and subsequently, the board shall consist of ten (10) members:
    1. Six (6) members shall be state-certified appraisers:
      1. Two (2) appraiser members shall be appointed for a term of three (3) years;
      2. Two (2) members for a term of two (2) years; and
      3. Two (2) members for a term of one year;
    2. One board member shall be a member of the general public, appointed for a term of three (3) years, and shall not be engaged in the practice of real estate appraisal;
    3. One board member shall hold a real estate license under chapter 20.5 of this title, appointed for a term of two (2) years and shall not be a state-certified real estate appraiser;
    4. One member shall be a representative of the Rhode Island banking industry and shall be appointed for a term of one year; and
    5. The director of the department of business regulation, or his or her designee, shall serve at all times as a member of the board ex officio without voting privileges.
    1. Successors of all members shall each be appointed for terms of three (3) years and until their successors are appointed and qualified by subscribing to the constitutional oath of office, which shall be filed with the secretary of state. Members to fill vacancies shall be appointed for the unexpired term. No member shall be appointed to succeed himself or herself for more than two (2) terms. Upon qualification of the appointed members, the board shall organize by selecting from its members a chairperson and vice-chairperson with a term of office of one year.
    2. The board shall meet not less than once each month or as necessary in order to conduct its business, the dates and times of which shall be decided by a vote of the members.
    3. Each real estate appraiser member of the board appointed as of January 1, 1992, must be a state-certified real estate appraiser. At least one-half (1/2) of the appraiser members shall hold the general appraisal certificate and not less than two (2) shall hold the residential appraisal certificate.
    4. Upon expiration of their terms, members of the board shall continue to hold office until the appointment and qualification of their successors. The appointing authority may remove a member for cause.
    5. A quorum of the board is a majority of the voting members of the board members appointed and/or sitting, whichever is less, with at least three (3) of these members required to be appraiser members.
    6. The department of business regulation, with the assistance of the board, shall implement a program for recertification on or before July 1, 1992, and establish any reasonable rules and regulations that are appropriate to insure that the examination, education, and experience requirements of certificate and license holders meet the public interest and the minimum standards of the Appraisal Foundation.
  2. The board shall adopt a seal of any design that it prescribes. Copies of all records and papers in the office of the board, duly certified and authenticated by its seal, shall be received in all courts with like effect as the original. All records of the board shall be open to public inspection under any reasonable rules and regulations that it prescribes.
  3. No member of the board shall receive compensation for his or her official duties on the board but shall be reimbursed for his or her actual and necessary expenses incurred in the performance of his or her official duties.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1991 ch. 335, § 1; P.L. 1992, ch. 275, § 1; P.L. 1997, ch. 341, § 1; P.L. 1997, ch. 366, § 1; P.L. 2005, ch. 117, art. 21, § 6.

5-20.7-5. Powers of the board.

The board shall:

  1. Establish criteria, standards, and requirements for the certifying and licensing of real estate appraisers, including, but not limited to, educational criteria, experience criteria, and examination requirements for certifying, licensing, and recertifying.
  2. Establish administrative procedures for disciplinary proceedings conducted pursuant to the provisions of this chapter and the board shall censure, suspend, and revoke certificates pursuant to the disciplinary proceedings established by the board.
  3. Have a policy-making role in the preparation and composition of the examinations to be administered by the department or its designee. Subsequent to the administration of the examination, the board shall review the examinations to evaluate their effectiveness.
  4. Supervise the operations in the department in an advisory capacity and promulgate any policy, procedures, and rules that are necessary to improve the operations of the department in their areas of expertise and to implement this chapter. The promulgation of those policies is subject to the approval of the director of the department.
  5. Provide any advisory opinions to the department that are necessary for the implementation of this chapter, title XI of the Federal Financial Institutions Reform, Recovery and Enforcement Act of 1989, 12 U.S.C. § 3331 et seq., as may be amended from time to time and with the federal regulatory standards promulgated thereunder, as well as any other standards of expertise and certification deemed appropriate by the board.
  6. [Deleted by P.L. 2014, ch. 92, § 2, and by P.L. 2014, ch. 93, § 2].

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1991, ch. 294, § 1; P.L. 1992, ch. 275, § 1; P.L. 2014, ch. 92, § 2; P.L. 2014, ch. 93, § 2.

5-20.7-6. Powers of the department.

  1. The department shall have the following powers and duties:
    1. Establish within the department an independent section named the real estate appraisers section, which shall operate independent of the real estate section;
    2. Establish the examination specifications for certification and licensing of each category of state-certified and licensed real estate appraiser consistent with the advice of the board and establish procedures for grading examinations;
    3. Administer the standards for education and experience as established by the board as a prerequisite to examination and recertification as specified in this chapter;
    4. Administer the approval or disapproval of applications for certification and licensing and issue certificates;
    5. Administer the approval or disapproval of applications for the renewal of certificates;
    6. Establish any rules and regulations that are necessary for the implementation of this chapter, title XI of the Federal Financial Institutions Reform, Recovery and Enforcement Act of 1989, 12 U.S.C. § 3331 et seq., as may be amended from time to time, and with the federal regulatory standards promulgated thereunder;
    7. Receive applications for state certification and licensing and establish administrative procedures for the processing of those applications;
    8. Maintain a registry of names and addresses of individuals certified and licensed under this chapter and retain all records and all application materials submitted to the department pursuant to the certification and licensing process established by the department; and
    9. Assist the board, from time to time, in any other manner that the board requests.
  2. The department, pursuant to the provisions of this chapter, shall employ any administrative personnel and employees who are necessary and proper to discharge the duties imposed by this chapter and determine and prescribe their duties and fix their compensation subject to the general laws of this state.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1991, ch. 294, § 1; P.L. 1992, ch. 275, § 1; P.L. 2014, ch. 92, § 2; P.L. 2014, ch. 93, § 2.

5-20.7-7. Examination requirements.

An original certification as a state-certified or licensed real estate appraiser shall not be issued to any person unless that individual has achieved a passing grade upon a suitable written examination that is consistent with and equivalent to the uniform state certification or licensing examination issued or endorsed by the appraisal qualification board of the Appraisal Foundation. The written examination shall determine that the candidate for state-certified or licensed real estate appraiser possesses the following:

  1. Appropriate knowledge of technical terms commonly used in or related to real estate appraising, appraisal report writing, and economic concepts applicable to real estate;
  2. Understanding of the principles of land economics, real estate appraisal processes, and of problems likely to be encountered in gathering, interpreting, and processing of data in carrying out appraisal disciplines;
  3. Understanding of the standards for development and communicating of real estate appraisals as provided in this chapter;
  4. Knowledge of theories of depreciation, cost estimating, methods of capitalization, and the mathematics of real estate appraisal that are appropriate for the classification of certificate applied for;
  5. Knowledge of other principles and procedures as are appropriate for the respective classifications;
  6. Basic understanding of real estate law; and
  7. Understanding of the types of misconduct for which disciplinary proceedings may be initiated against a state-certified or licensed real estate appraiser, as set forth in this chapter.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1.

5-20.7-8. Classes of certification and licensing — Residential and general.

  1. There are two (2) classes for state-certified real estate appraisers and two (2) classes of licensed real estate appraisers.
    1. A state-certified residential real estate appraiser is a person who fulfills the requirements for certification for the appraisal of residential real property. For the purposes of this section, residential property means property used for noncomplex single or multi-family dwellings of 1 — 4 units having no minimum transaction value, or property used for complex 1 — 4 residential units having a transaction value of less than two hundred fifty thousand dollars ($250,000).
      1. A state-certified general real estate appraiser is a person who fulfills the requirements for certification for the appraisal of all types of real property.
      2. A state-licensed appraiser is a person who fulfills the requirements for licensing for the appraisal of residential property. For purposes of this section, residential property applies to the appraisal of noncomplex 1 — 4 residential units having a transaction value of less than one million dollars ($1,000,000) and complex 1 — 4 residential units having a transaction value of less than two hundred fifty thousand dollars ($250,000).
      3. A licensed appraiser trainee is an individual who has successfully completed all requisite core courses as required by the appraisal qualifications board of the Appraisal Foundation.
      4. [Deleted by P.L. 2013, ch. 54, § 1 and P.L. 2013, ch. 58, § 1].

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1; P.L. 1997, ch. 341, § 1; P.L. 1997, ch. 366, § 1; P.L. 2006, ch. 217, § 2; P.L. 2006, ch. 357, § 2; P.L. 2013, ch. 54, § 1; P.L. 2013, ch. 58, § 1.

5-20.7-9. Requirements prior to certification or licensing examination.

  1. Residential classification.  As a prerequisite to taking the examination for certification as a state-certified residential real estate appraiser, an applicant shall present evidence satisfactory to the board that he or she has successfully completed the required classroom hours of courses promulgated by the appraisal qualifications board of the Appraisal Foundation in subjects related to real estate appraisal and the uniform standards of professional appraisal practice from a duly licensed real estate school pursuant to the provisions of § 5-20.5-19 or a nationally recognized appraisal organization, college, university, or other school approved by the appraisal qualifications board of the Appraisal Foundation, or any other school that is approved by the board.
  2. General classification.  As a prerequisite to taking the examination for certification as a state-certified general real estate appraiser, an applicant shall present evidence satisfactory to the director that he or she has successfully completed the required classroom hours of courses promulgated by the appraisal qualifications board of the Appraisal Foundation in subjects related to real estate appraisal and the uniform standards of professional appraisal practice from a duly licensed real estate school pursuant to the provisions of § 5-20.5-19 , or a nationally recognized appraisal organization, college, university, or other school approved by the appraisal qualifications board of the Appraisal Foundation, or such other school as approved by the board.
  3. Licensed real estate appraiser.  As a prerequisite to taking the examination for licensing as a state-licensed residential real estate appraiser, an applicant shall present evidence satisfactory to the board that he or she has successfully completed the required classroom hours of courses promulgated by the appraisal qualifications board of the Appraisal Foundation in subjects related to real estate appraisal and the uniform standards of professional appraisal practice from a duly licensed real estate school pursuant to the provisions of § 5-20.5-19 or a nationally recognized appraisal organization, college, university, or other school approved by the appraisal qualifications board of the Appraisal Foundation, or any other school that is approved by the board.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1; P.L. 1994, ch. 211, § 1; P.L. 1997, ch. 341, § 1; P.L. 1997, ch. 366, § 1.

5-20.7-10. Experience requirement.

  1. An original certification as a state-certified real estate appraiser or licensing as a state-licensed appraiser shall not be issued to any person who does not possess the requisite experience in real property appraisal as required by the appraisal qualifications board of the Appraisal Foundation and supported by adequate written reports or file memoranda. The experience must be acquired within a period of five (5) years immediately preceding the filing of the application for certification. The experience shall be of the type of appraisal for which the applicant is seeking certification/licensing and shall meet the minimum standards of the Appraisal Foundation and/or applicable federal regulations.
  2. Each applicant for certification and licensing shall furnish, under oath, a detailed listing of the real estate appraisal reports or file memoranda for each year for which experience is claimed by the applicant. For an applicant for general certification at least fifty percent (50%) of the prepared reports must demonstrate knowledge and working understanding of income capitalization or other nonresidential reports. Upon request, the applicant shall make available to the director or board for examination a sample of appraisal reports, which the applicant has prepared in the course of his or her practice.
  3. In order for a licensed trainee appraiser to be issued certification as a state-certified appraiser or licensing as a state-licensed appraiser, the trainee must have completed the requisite experience in real property appraisal as required by the appraisal qualifications board and supported by adequate written reports or file memoranda. That experience must be completed under the direct supervision of certified real estate appraisers. The trainee may rely on more than one supervising appraiser in order to complete this experience requirement, and no certified appraiser shall supervise more than three (3) trainees.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1; P.L. 1994, ch. 211, § 1; P.L. 1998, ch. 288, § 1; P.L. 2013, ch. 54, § 1; P.L. 2013, ch. 58, § 1.

5-20.7-11. Term of certification or license — Renewal.

The term of a certificate or license issued pursuant to this chapter is two (2) years from the date of issuance. The expiration date of the certificate or license shall appear on the certificate or license and no other notice of its expiration need be given to the holder of the license.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1.

5-20.7-12. Issuance of certificate or license — Certificate or license number.

  1. A certificate or license issued pursuant to the provisions of this chapter shall bear the signature of the chairperson of the board and a certificate number assigned by the director.
  2. Prior to the issuance of any trainee license, the trainee shall provide to the department a notarized affidavit signed by the certified appraiser who shall directly supervise the trainee. The affidavit must provide the business name, address, and license number of the certified appraiser.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1; P.L. 1997, ch. 341, § 1; P.L. 1997, ch. 366, § 1.

5-20.7-13. Exclusive use of term.

  1. The term “state-certified real estate appraiser” may only be used to refer to individuals who hold the certificate and may not be used following or immediately in connection with the name or signature of a firm, partnership, corporation, or group; or in any manner that it might be interpreted as referring to a firm, partnership, corporation, group, or anyone other than an individual holder of the certificate.
  2. No certificate shall be issued under the provisions of this chapter to any corporation, partnership, firm, or group. This is not construed to prevent a state-certified real estate appraiser from signing an appraisal report on behalf of a corporation, partnership, firm, or group practice.

History of Section. P.L. 1990, ch. 424, § 1.

5-20.7-14. Principal place of business.

  1. Each state-certified and licensed real estate appraiser shall advise the director of the address of his or her principal place of business and all other addresses at which he or she is currently engaged in the business of preparing real property appraisal reports.
  2. Whenever a state-certified or licensed real estate appraiser changes his or her place of business, he or she shall give ten (10) days in advance written notification of the change to the director and shall apply for an amended certificate.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1.

5-20.7-15. Fees.

  1. The director is empowered and directed to establish a fee schedule for the application, review, examination, and reexamination of applicants for certification and licensing and for the issuance and renewal of certificates and for late fees; provided, that the annual fee for a residential or general appraiser certificate is two hundred dollars ($200).
  2. There is hereby created a restricted-receipt account within the general fund of the state to be known as the real estate appraisers — registration — CLRA account. Fees collected pursuant to subsection (a) of this section shall be deposited into this account and be used to finance costs associated with real estate appraisers registration. The restricted-receipt account will be included in the budget of the department of business regulation.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1; P.L. 2004, ch. 595, art. 30, § 4; P.L. 2019, ch. 88, art. 2, § 1.

5-20.7-16. Nonresident certified or licensed real estate appraisers — Secretary of state as agent for service of process — Reciprocity.

  1. Every applicant for certification or licensing under this chapter who is not a resident of this state shall submit, with the application for certification or licensing, an irrevocable consent that service of process upon him or her may be made by delivery of the process to the secretary of state, if in an action against the applicant in a court of this state arising out of the applicant’s activities as a state-certified or licensed real estate appraiser, the plaintiff cannot, in the exercise of due diligence, effect personal service upon the applicant.
  2. A nonresident of the state who has complied with the provisions of subsection (a) may obtain a certificate as a state-certified real estate appraiser or a licensed real estate appraiser by conforming to all of the provisions of this chapter relating to state-certified real estate appraisers. If, in the determination by the board, another state is deemed to have substantially equivalent certification requirements, an applicant who is certified under the laws of that other state may obtain a certificate as a state-certified real estate appraiser in this state upon any terms and conditions that are determined by the board.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1.

5-20.7-17. Continuing education prerequisite to renewal.

  1. As a prerequisite to certificate or license renewal, a state-certified or licensed real estate appraiser shall present evidence satisfactory to the director of having met the continuing education requirements of this section.
  2. The basic continuing education requirement for renewal of a certificate or license is the completion by the applicant, during the immediately preceding term of certification, of not less than twenty-eight (28) hours of instruction in courses or seminars from a duly licensed real estate school pursuant to the provisions of § 5-20.5-19 or a nationally recognized appraisal organization, college, university, or other school approved by the appraiser qualifications board of the Appraisal Foundation or such other school as approved by the board.
  3. In lieu of meeting the requirements of subsection (b) of this section, an applicant for certificate or license renewal may satisfy all or part of the recertification requirements by presenting evidence of the following:
    1. Completion of an educational program of study determined by the board to be equivalent, for continuing education purposes, to courses meeting the requirements of subsection (b) of this section; or
    2. Participation other than as a student in educational processes and programs approved by the board that relate to appraisal theory, practices, or techniques, including, but not necessarily limited to, teaching, program development, and preparation of textbooks, monographs, articles, and other instructional materials.
    3. [Deleted by P.L. 2013, ch. 54, § 1 and P.L. 2013, ch. 58, § 1].

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1; P.L. 2013, ch. 54, § 1; P.L. 2013, ch. 58, § 1.

5-20.7-18. Retention of records.

  1. A state-certified or licensed real estate appraiser shall retain for five (5) years originals or true copies of all written contracts engaging his or her services for real property appraisal work, and all reports and supporting data assembled and formulated by the appraiser in preparing the reports.
  2. The five-year (5) period for retention of records is applicable to each engagement of the services of the appraiser and commences upon the date of the submittal of the appraisal to the client unless, within such five-year (5) period, the appraiser is notified that the appraisal or report is involved in litigation, in which event the five-year (5) period for the retention of records is five (5) years upon the date of the submittal of the appraisal to the client or three (3) years from the date of the final disposition of the litigation, whichever is greater.
  3. All records required to be maintained under the provisions of this chapter shall be made available by the certified real estate appraiser for inspection and copying by the board on reasonable notice to the appraiser.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1; P.L. 1994, ch. 211, § 1; P.L. 1994, ch. 266, § 2.

5-20.7-19. Standards of practice.

A state-certified or licensed real estate appraiser must comply with the uniform standards of professional appraisal practice promulgated by the appraisal standard board of the Appraisal Foundation.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1.

5-20.7-20. Revocation or suspension of certification or license.

  1. The director of the department of business regulation may, upon his or her own motion or by recommendation of the board, and shall, upon the verified complaint, in writing, of any person setting forth a cause under this section, ascertain the facts and, if warranted, hold a hearing for the suspension or revocation of a certification or license.
  2. No action may be taken pursuant to this section against a person who is certified or licensed in accordance with the provisions of this chapter unless the action is commenced within:
    1. Five (5) years of the issuance of the certified appraisal report; or
    2. Two (2) years of any judicial proceeding in which the appraiser provided testimony related to the appraisal assignment, whichever period expires later.
  3. The director has the power to refuse a certification or license for cause or to suspend or revoke a certification or license where it has been obtained by false representation, or by fraudulent act or conduct, or where the holder of a certificate in performing or attempting to perform any of the acts mentioned in this chapter, is found guilty of:
    1. Procuring or attempting to procure certification or licensing pursuant to this chapter by knowingly making a false statement, knowingly submitting false information, refusing to provide complete information in response to a question in an application for certification or license, or through any form of fraud or misrepresentation;
    2. Failing to meet the minimum qualifications established by this chapter;
    3. Paying money other than provided for by this chapter to any member or employee of the board or department to procure a certification under this chapter;
    4. A conviction, including a conviction based upon a plea of guilty or nolo contendere, of a crime that is substantially related to the qualifications, functions, and duties of a person developing appraisals and communicating appraisals to others or conviction of any felony;
    5. An act or omission involving dishonesty, fraud, or misrepresentation with the intent to benefit the certificate holder or another person or with the intent to substantially injure another, mislead or defraud another person;
    6. Failure or refusal without good cause to exercise reasonable diligence in developing an appraisal, preparing an appraisal report, or communicating an appraisal;
    7. Accepting an appraisal assignment when the employment itself is contingent upon the appraiser reporting a predetermined estimate, analysis, or opinion, or where the fee to be paid is contingent upon the opinion, conclusion, or valuation reached, or upon the consequence resulting from the appraisal assignment; or
    8. Entry of a final civil judgment against the person on grounds of fraud, misrepresentation, or deceit in the making of an appraisal.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1; P.L. 2019, ch. 45, § 1; P.L. 2019, ch. 65, § 1.

Compiler’s Notes.

P.L. 2019, ch. 45, § 1, and P.L. 2019, ch. 65, § 1 enacted identical amendments to this section.

5-20.7-21. Violations — Penalties.

  1. Any person upon conviction of acting or representing themselves to be a state-certified or licensed real estate appraiser or performing the duties of a certified or licensed real estate appraiser as defined within this chapter without first obtaining a certification or license is guilty of a misdemeanor punishable by a fine of not less than one hundred dollars ($100) nor more than five hundred dollars ($500), or by imprisonment for a term not to exceed one year, or both; and if a corporation, by a fine of not less than one thousand dollars ($1,000) nor more than two thousand dollars ($2,000). Any person upon conviction of a second or subsequent offense is punishable by a fine of not less than five hundred dollars ($500) nor more than one thousand dollars ($1,000), or by imprisonment for a term not to exceed two (2) years, or both; and if a corporation, by a fine of not less than two thousand dollars ($2,000) nor more than five thousand dollars ($5,000).
  2. In case any person has received any money, or the equivalent of money, as a fee, commission, compensation, or profit by or in consequence of a violation of any provision of this chapter, he or she shall, in addition, be liable to a penalty of not less than the amount of this sum or money so received and not more than three (3) times the sum received, as may be determined by the court, which penalty may be recovered in any court of competent jurisdiction by any person aggrieved together with all reasonable attorney’s fees and costs incurred in the prosecution of the action.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1.

5-20.7-22. Hearing before revocation or suspension; refusal of certification or licensing.

  1. Before refusing to issue a certificate or license or suspending or revoking a certificate or license on its own motion, the director shall notify the applicant of his or her intended action and the grounds for the action. The applicant may, within twenty (20) days, file with the director a request for a hearing setting out his or her answer to the grounds specified in the notification. The director shall consider the answer and set a date for the hearing, notifying the applicant of that date at least twenty (20) days prior to the hearing date.
  2. Before refusing to issue a certification or suspending or revoking an existing certificate or license upon the verified, written complaint of any person setting out a cause of action under § 5-20.7-20 , the director shall, in writing, notify the accused applicant or certificate holder of its receipt of the complaint, enclosing a copy of the complaint. The accused applicant, certificate, or license holder shall, within twenty (20) days, file his or her answer(s) to the complaint or complaints with the department.
  3. The board shall transmit a copy of the answer to the complainant or complainants and set a time and place for a hearing, which shall be at least twenty (20) days prior to the hearing date.
  4. All notices and answers required or authorized to be made or filed under this section may be served or filed personally, or by certified mail to the last known business address of the addressee. If served personally, the time runs from the date of service; if by registered mail, from the postmarked date of the letter enclosing the document.
  5. The director shall render a decision on any application or complaint within sixty (60) days after the final hearing in the matter and shall immediately notify the parties to the proceedings, in writing, of its rulings, orders, or decisions. If the matter contained in the complaint has been filed or made a part of a case pending in any court in this state, the director may then withhold its decision until the court action has been concluded. Hearings shall be held in accordance with rules promulgated by the department in conformity with law. Any party aggrieved by a final administrative decision of the director may appeal the decision in accordance with the provisions of the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1990, ch. 424, § 1; P.L. 1992, ch. 275, § 1; P.L. 2014, ch. 92, § 2; P.L. 2014, ch. 93, § 2.

5-20.7-23. Severability.

If any provision of this chapter or the application of this chapter to any person or circumstances is deemed invalid, that invalidity does not affect other provisions or applications of the chapter that can be given effect without the invalid provision or application, and to this end the provisions of this chapter are declared to be severable; provided, that if any provision of this chapter, or the application of any provision to any person or circumstance, is held invalid or determined to be contrary to federal laws or regulations governing the certification or licensure of real estate appraisers, the remainder of this chapter shall be given effect without the invalid provision or application.

History of Section. P.L. 1990, ch. 424, § 1.

5-20.7-24. Mortgage loan appraisers — Relationship with lending institution.

  1. Every bank, trust company, loan-investment company, mortgage company, and credit union or any other lending institution, that accepts an application for any residential mortgage loan or any commercial mortgage loan that requires an appraisal in order to process the loan is not permitted to use an appraisal company that is either owned by or has directors, stockholders, or employees of that bank, trust company, loan-investment company, mortgage company, and credit union or any other lending institution.
  2. All appraisal companies doing business in the state are required to disclose with the Rhode Island department of business regulation those lending institutions that may have an ownership interest in the appraisal company. If an ownership relationship exists between the lending institution and an appraisal company, then the appraisal company is prohibited from conducting any appraisals for that lending institution.
  3. Any appraisal companies doing business within the state shall comply with the provisions of this chapter, title XI of the Federal Financial Institutions Reform, Recovery and Enforcement Act of 1989, 12 U.S.C. § 3331 et seq., as may be amended from time to time, and with the federal and state regulatory standards promulgated thereunder.
  4. Any lending institution that maintains Federal Deposit Insurance Corporation (FDIC) or National Credit Union Association (NCUA) insurance protection for its deposits at a lending institution is exempt from this provision.
  5. A violation of this section shall also be considered to be a violation of chapter 13.1 of title 6.

History of Section. P.L. 1992, ch. 211, § 1; P.L. 2014, ch. 92, § 2; P.L. 2014, ch. 93, § 2.

Compiler’s Notes.

P.L. 2014, ch. 92, § 2, and P.L. 2014, ch. 93, § 2 enacted nearly identical amendments to this section. P.L. 2014, ch. 92 uses the word “deemed” in subsection (e) where P.L. 2014, ch. 93, as set out above, uses “considered.”

5-20.7-25. Effect of federal law.

Notwithstanding any provision in this chapter to the contrary, any applicable provisions of title XI of the federal “Financial Institutions Reform, Recovery & Enforcement Act of 1989 (FIRREA),” 12 U.S.C. § 3331 et seq., as may be amended from time to time, and any federal regulatory standards promulgated thereunder shall supersede any inconsistent provisions of this chapter.

History of Section. P.L. 1994, ch. 211, § 2; P.L. 2014, ch. 92, § 2; P.L. 2014, ch. 93, § 2.

5-20.7-26. Order to cease unsafe practices — Appeal.

If the department of business regulation has reason to believe that any person, firm, or corporation or association is conducting any activities requiring licensure or certification pursuant to this chapter without obtaining a license, or who after the denial, suspension, or revocation of a license conducts any activities requiring licensure or certification pursuant to this chapter, the department may issue its order to that person, firm, corporation, or association commanding them to appear before the department at a hearing to be held not sooner than ten (10) days and not later than twenty (20) days after issuance of that order, to show cause why the department should not issue an order to that entity to cease and desist from the violation of the provisions of this chapter. The order to show cause may be served on any person, firm, corporation, or association named in the order in the same manner that a summons in a civil action may be served, or by mailing a copy of the order, certified mail, return receipt requested, to that entity at any address that is the place of business or place of residence. If upon that hearing the department is satisfied that the entity is in fact violating any provision of this chapter, then the department may order that entity, in writing, to cease and desist from that violation. All hearings shall be governed in accordance with chapter 35 of title 42. If that entity fails to comply with an order of the department after being afforded a hearing, the superior court in the county where the land or real estate is located has jurisdiction upon complaint of the department to restrain and enjoin that entity from violating this chapter.

History of Section. P.L. 2000, ch. 154, § 1.

Chapter 20.8 Real Estate Sales Disclosures

5-20.8-1. Definitions.

When used in this chapter, unless the context indicates otherwise:

  1. “Agent” means any individual or entity acting on behalf of a seller or buyer to effect the transfer of real estate. It includes listing agent, selling agent, buyer’s agent, and their respective brokers.
  2. “Agreement to transfer” means a purchase and sale agreement, installment-sales contract, option to purchase agreement, or other agreement intended to effect the transfer of real estate from a seller to a buyer.
  3. “Buyer” means any individual or entity seeking to obtain title to real estate from a seller for consideration.
  4. “Closing” means the time at which real estate is transferred from seller to buyer and consideration is delivered to the seller or to a settlement agent with the intention of imminent delivery upon the recording of pertinent documents and other ministerial acts associated with settlement.
  5. “Deficient conditions” means any land restrictions, defect, malfunction, breakage, or unsound condition existing on, in, across, or under the real estate of which the seller has knowledge.
  6. “Real estate” means vacant land or real property and improvements consisting of a house or building containing one to four (4) dwelling units.
  7. “Seller” means any individual or entity seeking to transfer title to real estate to a buyer for consideration.
  8. “Transfer” means the sale or conveyance, exchange of, or option to purchase any real estate.

History of Section. P.L. 1992, ch. 425, § 1.

NOTES TO DECISIONS

Causes of Action.

Since R.I. Gen. Laws tit. 5, chs. 20.8 and 20.6 create a duty on the part of real estate agents to disclose to potential buyers of real property any material defects, as defined in the Real Estate Sales Disclosure Act, R.I. Gen. Laws tit. 5, ch. 20.8, when such disclosable defects are within the agent’s personal knowledge, and the agents know or should know that the buyer is acting under a misapprehension concerning facts which would be important to the buyer and could probably affect its decision, an alleged breach of that duty could be the basis for a negligence claim or a negligent omission claim, and, in the case of the buyer’s own agent, a breach-of-fiduciary-duty claim. Stebbins v. Wells, 818 A.2d 711, 2003 R.I. LEXIS 69 (R.I. 2003).

Deficient Conditions.

Although there was no evidence of any deliberate concealment, summary judgment was inappropriate since there was a genuine issue of material fact regarding whether the severity of erosion of waterfront properties amounted to a disclosable defect. Stebbins v. Wells, 766 A.2d 369, 2001 R.I. LEXIS 38 (R.I. 2001).

Historic district zoning is a land restriction which, for the purposes of the Rhode Island Real Estate Sales Disclosure Act, constitutes a deficient condition pursuant to R.I. Gen. Laws § 5-20.8-1 . Am. Capital Corp. v. Blixseth, 563 F. Supp. 2d 316, 2008 U.S. Dist. LEXIS 45343 (D.R.I. 2008).

Since historic zoning was a deficient condition as defined in the Rhode Island Real Estate Sales Disclosure Act, R.I. Gen. Laws § 5-20.8-1(5) , given that it was a land restriction pursuant to R.I. Gen. Laws § 5-20.8-2(b)(2)(xxiii) , and it was material, the sellers should have disclosed the condition; the buyers thus could terminate the sale of three parcels. Am. Capital Corp. v. Blixseth, 563 F. Supp. 2d 316, 2008 U.S. Dist. LEXIS 45343 (D.R.I. 2008) (decided under prior version of § 5-20.8-4 ).

5-20.8-2. Disclosure requirements.

  1. As soon as practicable, but in any event no later than prior to signing any agreement to transfer real estate, the seller of the real estate shall deliver a written disclosure to the buyer and to each agent with whom the seller knows he or she or the buyer has dealt in connection with the real estate. The written disclosure shall comply with the requirements set forth in subsection (b) and shall state all deficient conditions of which the seller has actual knowledge. The agent shall not communicate the offer of the buyer until the buyer has received a copy of the written disclosure and signed a written receipt of the disclosure. If the buyer refuses to sign a receipt pursuant to this section, the seller or agent shall immediately sign and date a written account of the refusal. The agent is not liable for the accuracy or thoroughness of representations made by the seller in the written disclosure or for deficient conditions not disclosed to the agent by the seller.
    1. The Rhode Island real estate commission may approve a form of written disclosure as required under this chapter or the seller may use a disclosure form substantially conforming to the requirements of this section. The following provisions shall appear conspicuously at the top of any written disclosure form: “Prior to the signing of an agreement to transfer real estate (vacant land or real property and improvements consisting of a house or building containing one to four (4) dwelling units), the seller is providing the buyer with this written disclosure of all deficient conditions of which the seller has knowledge. This is not a warranty by the seller that no other defective conditions exist, which there may or may not be. The buyer should estimate the cost of repair or replacement of deficient conditions prior to submitting an offer on this real estate. The buyer is advised not to rely solely upon the representation of the seller made in this disclosure, but to conduct any inspections or investigations the buyer deems to be necessary to protect his or her best interest.” Nothing contained in this section shall be construed to impose an affirmative duty on the seller to conduct inspections as to the condition of this real estate.
    2. The disclosure form shall include the following information:
      1. Seller Occupancy — (Length of Occupancy)
      2. Year Built
      3. Basement — (Seepage, Leaks, Cracks, etc. Defects)
      4. Sump Pump — (Operational, Location, and Defects)
      5. Roof (Layers, Age, and Defects)
      6. Fireplaces — (Number, Working and Maintenance, Defects)
      7. Chimney — (Maintenance History, Defects)
      8. Woodburning Stove — (Installation Date, Permit Received, Defects)
      9. Structural Conditions — (Defects)
      10. Insulation — (Wall, Ceiling, Floor, UFFI)
      11. Termites or other Pests — (Treatment Company)
      12. Radon — (Test, Company) “Radon has been determined to exist in the State of Rhode Island. Testing for the presence of radon in residential real estate prior to purchase is advisable.”
      13. Electrical Service — (Imp. & Repairs, Electrical Service, Amps, Defects, Modifications)
      14. Heating System — (Type, Imp. & Repairs, Underground Tanks, Zones, Supplemental Heating, Defects, Modifications)
      15. Air Conditioning — (Imp. & Repairs, Type, Defects)
      16. Plumbing — (Imp. & Repairs, Defects, Modifications)
      17. Sewage System — (Assessment, Annual Fees, Type, Cesspool/Septic Location, Last Pumped, Maintenance History, Defects) “Potential purchasers of real estate in the state of Rhode Island are hereby notified that many properties in the state are still serviced by cesspools as defined in Rhode Island general law chapter 19.15 of title 23 (The Rhode Island cesspool act of 2007). Cesspools are a substandard and inadequate means of sewage treatment and disposal, and cesspools often contribute to groundwater and surface water contamination. Requirements for abandonment and replacement of high-risk cesspools as established in chapter 19.15 of title 23 are primarily based upon a cesspool’s nontreatment of wastewater and the inherent risks to public health and the environment due to a cesspool’s distance from a tidal water area, or a public drinking water resource. Purchasers should consult chapter 19.15 of title 23 for specific cesspool abandonment or replacement requirements. An inspection of property served by an on-site sewage system by a qualified professional is recommended prior to purchase. Pursuant to § 5-20.8-13 , potential purchasers shall be permitted a ten-day (10) period to conduct an inspection of a property’s sewage system to determine if a cesspool exists, and if so, whether it will be subject to the phase-out requirements as established in chapter 19.15 of title 23.”
      18. Water System — (Imp. & Repairs, Type, Defects) Private water supply (well). “The buyer understands that this property is, or will be served, by a private water supply (well) which may be susceptible to contamination and potentially harmful to health. If a public water supply is not available, the private water supply must be tested in accordance with regulations established by the Rhode Island department of health pursuant to § 23-1-5.3 . The seller of that property is required to provide the buyer with a copy of any previous private water supply (well) testing results in the seller’s possession and notify the buyer of any known problems with the private water supply (well).”
      19. Domestic Hot Water — (Imp. & Repairs, Type, Defects, Capacity of Tank)
      20. Property Tax
      21. Easements and Encroachments — The seller of the real estate is required to provide the buyer with a copy of any previous surveys of the real estate that are in the seller’s possession and notify the buyer of any known easements, encroachments, covenants, or restrictions of the seller’s real estate. If the seller knows that the real estate has a conservation easement or other conservation or preservation restriction as defined in § 34-39-1 , the seller is required to disclose that information and provide the buyer with a copy of any documentation in the seller’s possession regarding the conservation and preservation restrictions.  A buyer may wish to have a boundary or other survey independently performed at his or her own expense.
      22. Deed — (Type, Number of Parcels)
      23. Zoning — (Permitted use, Classification) “Buyers of real estate in the state of Rhode Island are legally obligated to comply with all local real estate ordinances; including, but not limited to, ordinances on the number of unrelated persons who may legally reside in a dwelling, as well as ordinances on the number of dwelling units permitted under the local zoning ordinances.” If the subject property is located in a historic district, that fact must be disclosed to the buyer, together with the notification that “property located in a historic district may be subject to construction, expansion, or renovation limitations. Contact the local building inspection official for details.”
      24. Restrictions — (Plat or Other)
      25. Building Permits
      26. Minimum Housing — (Violations)
      27. Flood Plain — (Flood Insurance)
      28. Wetlands — The location of coastal wetlands, bay, freshwater wetlands, pond, marsh, river bank, or swamp, as those terms are defined in chapter 1 of title 2, and the associated buffer areas may impact future property development. The seller must disclose to the buyer any such determination on all or part of the land made by the department of environmental management.
      29. Multi-family or other Rental Property — (Rental Income)
      30. Pools & Equipment — (Type, Defects)
      31. Lead Paint — (Inspection) Every buyer of residential real estate built prior to 1978 is hereby notified that those properties may have lead exposures that may place young children at risk of developing lead poisoning. Lead poisoning in young children may produce permanent neurological damage, including learning disabilities, reduced IQ behavioral problems, and impaired memory. The seller of that property is required to provide the buyer with a copy of any lead inspection report in the seller’s possession and notify the buyer of any known lead poisoning problem. Environmental lead inspection is recommended prior to purchase.
      32. Fire
      33. Hazardous Waste — (Asbestos and Other Contaminants)
      34. Miscellaneous
      35. Farms — The disclosure shall inform the buyer that any farm(s) that may be in the municipality are protected by the right to farm law.
      36. Mold — (Type, repairs, alterations, modifications).
      37. Ventilation system modifications.
      38. Moisture penetration and damage.
  2. Any agreement to transfer real estate shall contain an acknowledgement that a completed real estate disclosure form has been provided to the buyer by the seller in accordance with the provisions of this section.
  3. The Rhode Island real estate commission has the right to amend the seller disclosure requirements by adding or deleting requirements when there is a determination that health, safety, or legal needs require a change. Any change to requirements shall be a rule change, subject to the administrative procedures act, chapter 35 of title 42. The power of the commission to amend the written disclosure requirements shall be liberally construed so as to allow additional information to be provided as to the structural components, housing systems, and other property information as required by this chapter.

History of Section. P.L. 1992, ch. 425, § 1; P.L. 1993, ch. 397, § 4; P.L. 1999, ch. 419, § 1; P.L. 2002, ch. 161, § 2; P.L. 2002, ch. 162, § 2; P.L. 2004, ch. 313, § 1; P.L. 2004, ch. 600, § 1; P.L. 2007, ch. 136, § 2; P.L. 2007, ch. 233, § 2; P.L. 2008, ch. 58, § 1; P.L. 2008, ch. 252, § 1; P.L. 2009, ch. 249, § 1; P.L. 2009, ch. 264, § 1; P.L. 2019, ch. 207, § 1; P.L. 2019, ch. 219, § 1.

Compiler’s Notes.

P.L. 2019, ch. 207, § 1, and P.L. 2019, ch. 219, § 1 enacted identical amendments to this section.

Effective Dates.

P.L. 2019, ch. 207, § 2 provides that the amendment to this section by that act takes effect on January 1, 2020.

P.L. 2019, ch. 219, § 2 provides that the amendment to this section by that act takes effect on January 1, 2020.

Law Reviews.

2002 Survey of Rhode Island Law, see 8 Roger Williams U.L. Rev. 421 (2003).

NOTES TO DECISIONS

Cause of Action.

Real property buyer had no independent claim against the seller for a violation of R.I. Gen. Laws § 5-20.8-2 , as the legislature had not created a private cause of action for buyers to seek damages for violations of its provisions. Bitting v. Gray, 897 A.2d 25, 2006 R.I. LEXIS 65 (R.I. 2006).

Historic Zoning.

Since historic zoning was a deficient condition as defined in the Rhode Island Real Estate Sales Disclosure Act, R.I. Gen. Laws § 5-20.8-1(5) , given that it was a land restriction pursuant to R.I. Gen. Laws § 5-20.8-2(b)(2)(xxiii) , and it was material, the sellers should have disclosed the condition; the buyers thus could terminate the sale of three parcels. Am. Capital Corp. v. Blixseth, 563 F. Supp. 2d 316, 2008 U.S. Dist. LEXIS 45343 (D.R.I. 2008) (decided under prior version of § 5-20.8-4 ).

The explicit admonition in the Real Estate Sales Disclosure Act that a seller disclose whether or not a subject property is located in a historic district, together with a notification that property located in a historic district may be subject to construction, expansion, or renovation limitations pursuant to R.I. Gen. Laws § 5-20.8-2(b)(2)(xxiii) , reflects a legislative finding that a property’s location within a historic district is material information that must be communicated to a potential buyer. Am. Capital Corp. v. Blixseth, 563 F. Supp. 2d 316, 2008 U.S. Dist. LEXIS 45343 (D.R.I. 2008).

Mandating disclosure of historic district zoning pursuant to R.I. Gen. Laws § 5-20.8-2(b)(2)(xxiii) would not render § 5-20.8-2(b)(2)(xxiv) , which required disclosure of restrictions, superfluous because the Rhode Island Real Estate Sales Disclosure Act mentioned historic district zoning in § 5-20.8-2(b)(2)(xxiii) . Am. Capital Corp. v. Blixseth, 563 F. Supp. 2d 316, 2008 U.S. Dist. LEXIS 45343 (D.R.I. 2008).

Remote Vendees.

The recognized exception to the doctrine of caveat emptor which imposes a duty on a vendor to disclose to a vendee any hidden defects it knows or should know would create an unreasonable risk of harm to others does not extend to create a duty running from vendors to subsequent remote vendees. Hydro-Manufacturing v. Kayser-Roth Corp., 640 A.2d 950, 1994 R.I. LEXIS 124 (R.I. 1994).

Tenants.

Where a tenant, on behalf of herself and her children, sued a realtor for injuries the tenant and children sustained from lead paint that the realtor failed to disclose, in violation of R.I. Gen. Laws § 5-20.8-2(b)(2)(xxxi) , the realtor was entitled to summary judgment on this claim because, although the harm suffered was of the type contemplated by this law, the tenant and the children were not within the protective orbit of this law, and the realtor did not owe a duty to the tenant and her children as such a duty only arose during sales of property or between landlords and tenants, but did not arise between realtors and eventual tenants of property. Wallace v. United States, 335 F. Supp. 2d 252, 2004 U.S. Dist. LEXIS 18336 (D.R.I. 2004).

5-20.8-3. Exemptions.

The following transfers are exempt from the provisions of this chapter:

  1. Transfer pursuant to a court order, including, but not limited to, transfer ordered by a probate court in administration of an estate, transfer pursuant to a writ of execution, transfer by a trustee in bankruptcy, transfer by eminent domain, and transfer resulting from a decree for specific performance;
  2. Transfer to a mortgagee by a mortgagor or pursuant to a foreclosure sale, or transfer by a mortgagee who has so acquired the real estate;
  3. Transfer by a fiduciary in the course of the administration of a decedent’s estate, guardianship, conservatorship, or trust;
  4. Transfer from one co-owner to one or more other co-owners;
  5. Transfer made to a spouse, or to a person or persons in the lineal line of consanguinity of one or more of the transferors;
  6. Transfer between spouses resulting from a decree of dissolution of marriage or a decree of legal separation or from a property settlement agreement incidental to that decree;
  7. Transfer from any governmental entity;
  8. Transfer of any new unoccupied dwelling unit from a builder or developer;
  9. Transfer by a relocation company; and
  10. Transfer of title with no consideration.

History of Section. P.L. 1992, ch. 425, § 1.

5-20.8-4. Buyer’s rights to inspection.

  1. Every contract for the purchase and sale of real estate shall provide that a potential purchaser or potential purchasers shall be permitted a ten-day (10) period, exclusive of Saturdays, Sundays, and holidays, to conduct inspections of the property and any structures thereon before the purchaser(s) becomes obligated under the contract to purchase. The parties have the right to mutually agree upon a different period of time; provided, a potential purchaser may waive this right to inspection in writing.
  2. Failure to include the provision required in subsection (a) in the purchase and sale agreement for real estate does not create any defect in title.
  3. Failure to include in the purchase and sale agreement the provision required in subsection (a) shall entitle the purchaser to void the purchase and sale agreement by providing notice, in writing, to the seller prior to the transfer of the title at a closing.

History of Section. P.L. 1992, ch. 425, § 1; P.L. 2012, ch. 375, § 1; P.L. 2012, ch. 394, § 1.

NOTES TO DECISIONS

Historic Zoning.

Since historic zoning was a deficient condition as defined in the Rhode Island Real Estate Sales Disclosure Act, R.I. Gen. Laws § 5-20.8-1(5) , given that it was a land restriction pursuant to R.I. Gen. Laws § 5-20.8-2(b)(2)(xxiii) , and it was material, the sellers should have disclosed the condition; the buyers thus could terminate the sale of three parcels. Am. Capital Corp. v. Blixseth, 563 F. Supp. 2d 316, 2008 U.S. Dist. LEXIS 45343 (D.R.I. 2008) (decided under prior version of § 5-20.8-4 ).

5-20.8-5. Real estate disclosure form acknowledgement — Inclusion in real estate sales agreements — Penalty for violation.

  1. Every agreement for the purchase and sale of residential real estate located in the state shall contain an acknowledgement that a completed real estate disclosure form has been provided to the buyer by the seller.
  2. Failure to provide the seller disclosure form to the buyer does not void the agreement nor create any defect in title. Each violation of this statute by the seller or his or her agent is subject to a civil penalty in the amount of one hundred dollars ($100) per occurrence.

History of Section. P.L. 1992, ch. 425, § 1.

NOTES TO DECISIONS

Causes of Action.

As no right existed to file a private suit for civil damages under the Real Estate Sales Disclosure Act, R.I. Gen. Laws tit. 5, ch. 20.8, the buyer could not assert such a claim against the sellers and agent in regard to their failure to disclose a severe erosion problem. Stebbins v. Wells, 818 A.2d 711, 2003 R.I. LEXIS 69 (R.I. 2003).

While R.I. Gen. Laws § 5-20.8-5 does not create a private right of action, it may establish a standard of care resulting in negligence liability if it is breached; therefore, where a buyer sued a realtor, alleging negligence in the failure to disclose lead-based paint in the purchase of a house, the realtor was not entitled to summary judgment on the ground that there was no duty to disclose the possible presence of lead paint. Wallace v. United States, 335 F. Supp. 2d 252, 2004 U.S. Dist. LEXIS 18336 (D.R.I. 2004).

5-20.8-6. Disclosure of psychologically impacted property.

  1. The fact or suspicion that real property may be or is psychologically impacted is not a material fact requiring disclosure in any real estate transaction. “Psychologically impacted” means an impact being the result of facts or suspicions including, but not limited to, the following:
    1. That an occupant of real property is now or has been suspected to be infected or is infected or has been infected with Human Immunodeficiency Virus or diagnosed with Acquired Immune Deficiency Syndrome, or any other disease that has been determined by medical evidence to be highly unlikely to be transmitted through the occupying of a dwelling place; or
    2. That the real property was or has been, at any time, suspected of being the site of a homicide, other felony, or suicide.
    1. No cause of action shall arise against the seller of the real property or his or her agent for failure to disclose to the buyer that the real property was psychologically impacted as defined in this chapter.
    2. Under no circumstances shall this provision be interpreted as or used as authorization for an agent or seller to make any misrepresentation of fact or false statement.

History of Section. P.L. 1992, ch. 425, § 1.

Collateral References.

Duty of Seller of Real Estate and Its Agent to Disclose to Buyer Facts of Past Violent Crimes or Hauntings Within Property Subject to Sale. 18 A.L.R.7th Art. 2 (2018).

5-20.8-7. Public agency notification.

Any information required to be disclosed by this chapter to a prospective buyer by a public agency is deemed to comply with the requirements of this chapter and relieves the seller or agent of any further duty under this chapter as to that item of information.

History of Section. P.L. 1992, ch. 425, § 1.

5-20.8-8. Expert report.

  1. The delivery of a report or opinion prepared by an engineer, land surveyor, geologist, home inspector, pest control operator, contractor, or other expert, dealing with matters within the scope of the professional’s license or expertise, is sufficient compliance to qualify for the exemption provided by § 5-20.8-9 . An expert may indicate, in writing, that the information provided will be used in fulfilling the requirements of this section.
  2. A home inspector, pest control operator, or contractor who has provided and/or prepared a report or opinion per subsection (a) may not solicit, in writing or otherwise, to perform work on the property that has been the subject of the inspection to either a buyer or seller who has executed a purchase and sale agreement for the sale/transfer of the property. Nothing in this section restricts a buyer or seller from contacting the home inspector, pest control operator, or contractor for this work to be performed. Nothing in this section restricts the solicitation of work by that home inspector, pest control operator or contractor after the closing on the property as defined in § 5-20.8-1 .

History of Section. P.L. 1992, ch. 425, § 1; P.L. 1996, ch. 408, § 1.

5-20.8-9. Seller and agent liability.

Neither the seller nor agent is liable for any error, inaccuracy, or omission of any information delivered pursuant to this chapter if the error, inaccuracy, or omission was not within the personal knowledge of the seller or agent; was based on information timely provided pursuant to §§ 5-20.8-7 and 5-20.8-8 ; and ordinary care was exercised in obtaining and transmitting it.

History of Section. P.L. 1992, ch. 425, § 1.

5-20.8-10. Subsequent acts.

If information disclosed in accordance with this chapter is subsequently rendered inaccurate as a result of any act, passage of time, occurrence, or agreement subsequent to the delivery of the required disclosures, the resulting inaccuracy does not constitute a violation of this chapter. If at the time the disclosures are required to be made, an item of information required to be disclosed is unknown or not available to the seller, the seller shall so state and may use an approximation in responding.

History of Section. P.L. 1992, ch. 425, § 1.

5-20.8-11. Lead inspection requirement.

  1. Every contract for the purchase and sale of residential real estate (1-4 family)-built prior to 1978 located in the state shall provide that potential purchasers be permitted a ten-day (10) period, unless the parties mutually agree upon a different period of time, to conduct a risk assessment or inspection for the presence of lead exposure hazards before becoming obligated under the contract to purchase.
  2. Failure to include the provision required in subsection (a) in the purchase and sale agreement for residential real estate does not create any defect in title; provided, that each violation of this section by the seller or his or her agent is subject to a civil penalty of not less than one hundred dollars ($100) nor more than five hundred dollars ($500).
  3. Failure to provide inspection results and/or educational materials pursuant to department regulations required by § 23-24.6-16(a) does not create any defect in title; provided, that each violation of this section by the seller or his or her agent is subject to a civil penalty of not less than one hundred dollars ($100) nor more than five hundred dollars ($500).
  4. Failure to include the purchase and sale agreement provision required in subsection (a); failure to provide inspection results pursuant to § 23-24.6-16(a) ; or inspection results that show a lead exposure hazard as defined at § 23-24.6-4(12) entitles the purchaser to void the purchase and sale agreement by providing notice, in writing, to the seller prior to the transfer of the title at closing.

History of Section. P.L. 1994, ch. 389, § 2.

5-20.8-12. Private well testing requirement.

  1. Every contract for the purchase and sale of real estate located in the state, and which is served by a private water supply (well), shall provide that potential purchasers shall be permitted a ten-day (10) period, unless the parties mutually agree upon a different period of time, to conduct the testing pursuant to department regulations required by § 23-1-5.3 before becoming obligated under the contract to purchase. The test results may be provided by the seller pursuant to the standards in the regulations.
  2. Failure to include the provision required in subsection (a) in the purchase and sale agreement for real estate does not create any defect in title.
  3. Failure to provide the results of any previous testing of a private water supply (well) servicing the property does not create any defect in title.
  4. Failure to include the purchase and sale agreement provision required in subsection (a); failure to provide previous testing results of a private water supply (well) servicing the property; or testing results that show a contaminant level or levels in excess of those established by department regulation pursuant to § 23-1-5.3 entitles the purchaser to void the purchase and sale agreement by providing notice, in writing, to the seller prior to the transfer of the title at the closing.
  5. The prospective buyer shall pay for the collection and analysis of the water samples and a qualified opinion relating to the portability of the water, unless otherwise agreed in writing.

History of Section. P.L. 2002, ch. 161, § 3; P.L. 2002, ch. 162, § 3.

Law Reviews.

2002 Survey of Rhode Island Law, see 8 Roger Williams U.L. Rev. 421 (2003).

5-20.8-13. Cesspool inspection requirement.

  1. Every contract for the purchase and sale of real estate that is or may be served by a private cesspool, shall provide that potential purchasers be permitted a ten-day (10) period, unless the parties mutually agree upon a different period of time, to conduct an inspection of a property’s on-site sewage system, before becoming obligated under the contract to purchase, to determine if a cesspool exists, and if so, whether it will be subject to the phase-out requirements as established in chapter 19.15 of title 23.
  2. Failure to include the provision required in subsection (a) in the purchase and sale agreement for real estate does not create any defect in title.
  3. Failure to provide the results of any previous inspection of a cesspool servicing the property does not create any defect in title.
  4. Failure to include the purchase and sale agreement provision required in subsection (a) or failure to provide previous inspection results of a cesspool servicing the property entitles the purchaser to void the purchase and sale agreement by providing notice in writing to the seller prior to the transfer of the title at closing.

History of Section. P.L. 2007, ch. 136, § 3; P.L. 2007, ch. 233, § 3.

Chapter 20.9 Real Estate Appraisal Management Company Registration Act

5-20.9-1. Legislative purpose.

This legislation provides the department with the statutory authority to develop and implement registration requirements for appraisal management companies (“AMCs”) in connection with valuing properties collateralizing mortgage loans or mortgages incorporated into a securitization or any external third party authorized either by a creditor of a consumer credit transaction secured by a consumer’s principal dwelling or by an underwriter of or other principal in the secondary mortgage markets operating in this state as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-2. Definitions.

  1. All definitions set forth in § 5-20.7-2 are herein incorporated by reference.
  2. As used in this chapter, the following terms shall have the following meanings unless the context clearly specifies otherwise:
    1. “Appraisal” means an analysis, opinion, or conclusion relating to the nature, quality, value, or utility of specified interests in, or aspects of, identified real estate. An appraisal may be classified by subject matter into either a valuation or an analysis.
      1. A “valuation” is an estimate of the value of real estate or real property.
      2. An “analysis” is a study of real estate or real property other than estimating value.
      3. An individual who possesses, directly or indirectly, the power to direct or cause the direction of the management or policies of an appraisal management company.
    2. “Appraisal management company” means:

      (i) In connection with valuing properties collateralizing mortgage loans or mortgages incorporated into a securitization, any external third party authorized either by a creditor of a consumer credit transaction secured by a consumer’s principal dwelling, or by an underwriter of or other principal in the secondary mortgage markets, that oversees a network or panel of more than fifteen (15) certified or licensed appraisers in Rhode Island or twenty-five (25) or more nationally, excluding those appraisers who do not provide appraisal services for covered transactions, within a given year to:

      1. Recruit, select, and retain appraisers;
      2. Contract with licensed and certified appraisers to perform appraisal assignments;
      3. Manage the process of having an appraisal performed, including providing administrative duties such as receiving appraisal orders and appraisal reports, submitting completed appraisal reports to creditors and underwriters, collecting fees from creditors and underwriters for services provided, and reimbursing appraisers for services performed; or
      4. Review and verify the work of appraisers.

        (ii) An appraisal management company does not include any entity that employs real estate appraisers as employees for the performance of real estate appraisal services in a manner consistent with federal regulations promulgated in accordance with § 1473 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

    3. “Appraisal review” means the act or process of developing and communicating an opinion about the quality of another appraiser’s work that was performed as part of an appraisal assignment related to the appraiser’s data collection, analysis, opinions, conclusions, opinion of value, or compliance with the Uniform Standards of Professional Appraisal Practice; provided however, that “appraisal review” shall not include:

      (i) A general examination for grammatical, typographical, or similar errors; or

      (ii) A general examination for completeness, including regulatory or client requirements as specified in an agreement that does not communicate an opinion of value.

    4. “Appraiser panel” means a group of independent fee appraisers that have been selected by an appraisal management company to perform residential real estate appraisal services for the appraisal management company.
    5. “Client” means any person or entity who or that contracts with, or otherwise enters into an agreement with, an appraisal management company for the management of residential real estate appraisal services.
    6. “Controlling person” means:

      (i) An owner, officer, or director of a corporation, partnership, or other business entity seeking to offer appraisal management services in this state; or

      (ii) An individual employed, appointed, or authorized by an appraisal management company who has the authority to enter into a contractual relationship with clients for the performance of appraisal management services and has the authority to enter into agreements with independent appraisers for the performance of residential real estate appraisal services; or

    7. “Department” means the department of business regulation.
    8. “Director” means the director of the department of business regulation.
    9. “Independent fee appraiser” means:

      (i) A natural person who is a state-licensed or state-certified appraiser and receives a fee for performing an appraisal, but who is not an employee of the person engaging the appraiser; or

      (ii) An organization that, in the ordinary course of business, employs state-licensed or state-certified appraisers to perform appraisals, receives a fee for performing the appraisals, and is not subject to § 1124 of the federal Financial Institutions Reform, Recovery and Enforcement Act of 1989 (“FIRREA”), 12 U.S.C. § 3353.

    10. “Real estate appraisal services” means the practice of developing an appraisal by a licensed or certified appraiser in conformance with the USPAP.
    11. “USPAP” mean the Uniform Standards for Professional Appraisal Practice published by the Appraisal Foundation.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

Federal Act References.

Section 1473 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. No. 111-203, referred to in this section, added 12 U.S.C. § 3353, which is section 1124 of Title XI of the Financial Institutions Reform, Recovery and Enforcement Act of 1989, 12 U.S.C. § 3331 et seq. Section 1473 also added and amended other provisions of Title XI of the Financial Institutions Reform, Recovery and Enforcement Act of 1989 and amended 12 U.S.C. § 3310.

5-20.9-3. Registration required for appraisal management companies.

  1. It shall be unlawful for any person or entity to act as a real estate appraisal management company, or to directly or indirectly engage in the business of real estate appraisal management in this state, or to advertise or hold himself, herself, or itself out as engaging in the business of real estate appraisal management in this state, without first registering with the department under the provisions of this chapter.
  2. A partnership, limited-liability partnership, limited-liability company, or corporation that acts as an appraisal management company shall register with the department and shall renew the registrations of its members, officers, and directors for each registration period.
  3. However, this chapter shall not be applicable to:
    1. An agency of the federal government or any state or municipal government;
    2. An appraisal management company that is a subsidiary owned and controlled by a financial institution regulated by a federal financial institution regulatory agency, provided the appraisal management company is in compliance with § 1124 of the federal Financial Institutions Reform, Recovery and Enforcement Act of 1989, 12 U.S.C. § 3353, and any rules promulgated pursuant to the authority granted in said § 1124;
    3. Any domestic corporation, partnership, sole proprietorship, subsidiary, unit, or other domestic business entity that exclusively employs persons in employer-employee relationships to perform residential real estate appraisal services in accordance with USPAP in the normal course of its business;
    4. Any individual, corporation, partnership, sole proprietorship, subsidiary, unit, or other business entity who or that in the normal course of business enters into an agreement, whether written or otherwise, with an independent fee appraiser for the performance of residential real estate appraisal services shall, upon the completion of the appraisal, cosign the report with the independent fee appraiser with whom it or the individual subcontracted for the performance of the residential real estate appraisal service.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-4. Requirements for registration.

  1. Appraisal management companies shall provide the following information upon registration:
    1. Name and contact information of the entity seeking registration;
    2. Name and contact information of the controlling person for the entity;
    3. If the entity is not a corporation domiciled in this state, the name and contact information for the company’s agent for service of process in this state; and
    4. Name, address, and contact information for any individual or any corporation, partnership, or other business entity who or that owns 10% or more of the appraisal management company.
  2. Contact information shall include the entity’s business and mailing address, telephone number, facsimile number, and electronic mail (email) address.
  3. An appraisal management company shall certify that the following is true upon its initial registration and upon each renewal of its registration:
    1. The registered entity has a system and process in place to verify that a person being added to the appraiser panel of the appraisal management company holds a certification or license in good standing in this state to perform appraisals;
    2. The registered entity has a system in place to periodically perform a quality assurance review of the work of independent fee appraisers who or that are performing real estate appraisal services on its behalf to ensure that appraisal services are being conducted in accordance with USPAP;
    3. The registered entity maintains a detailed record of each service request that it receives for five (5) years;
    4. The registered entity maintains a system to assure that the appraiser selected for an appraisal assignment is independent of the transaction and has the requisite education, expertise, and experience necessary to competently complete the appraisal assignment for the particular market and property type; and
    5. The registered entity will have a system in place to ensure that real estate appraisal services are provided independently and free from inappropriate influence and coercion under the appraisal independence standards established under § 129E of the Truth in Lending Act, 15 U.S.C. § 1639e, including the requirement that independent fee appraisers be compensated at a customary and reasonable rate when the appraisal management company is providing services for a consumer credit transaction secured by the principal dwelling of a consumer.
  4. A person who, directly or indirectly, owns more than ten percent (10%) of an applicant, or any officer, controlling person, employee in charge, or managing principal of an applicant, shall furnish to the department authorization for a state or national criminal history background check. An appraisal management company that has an owner of more than ten percent (10%), directly or indirectly, or any officer, controlling person, employee in charge, or managing principal, who has had a license or certificate to act as an appraiser or to engage in any activity related to the transfer of real property refused, denied, canceled, or revoked in this state or in any other state, whether on a temporary or permanent basis, or who is not of good moral character as determined by the director, shall not be eligible for licensure.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-5. Consent to service of process.

Every applicant for registration under this chapter who or that is not a resident of this state shall submit with the application an irrevocable consent that service of process in any action against the applicant arising out of the applicant’s activities as an appraisal management company may be made by delivery of the process on the director. In addition, each application for registration must submit the name and address of its registered agent that is located in this state.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-6. Retention of records.

  1. Each appraisal management company shall maintain for five (5) years all business records, either in electronic or paper format, relating to each request for an appraisal service that the appraisal management company has received and to the appraiser who performs the appraisal service for the appraisal management company.
  2. The department may inspect these records periodically without prior notice and may also inspect these records whenever the department determines that they are pertinent to an investigation of any specific complaint against an appraisal management company.
  3. Each appraisal management company must notify the department in writing of any change of business name or address within ten (10) calendar days.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-7. Initial registration, renewals, forms, and fees.

  1. An applicant for registration as an appraisal management company shall submit to the department an application on forms prescribed by the department and pay the required fee(s).
  2. The fees for initial registration, renewal, and late renewals shall be determined by the director and established by regulation.
  3. There is hereby created a restricted-receipt account within the general fund of the state to be known as the appraisal management company — registration account. Fees collected pursuant to this section shall be deposited into this account and be used to finance costs associated with appraisal management company registration and operations. The restricted receipt account will be included in the budget of the department of business regulation.
  4. Every appraisal management company that desires to renew a registration for the next term shall apply for the renewal of the registration upon a form furnished by the director and containing information that is required by this chapter. Renewal of a registration is subject to the same provisions as the initial registration.
  5. The department shall receive applications for registration for initial licensing and renewal and establish administrative procedures for processing applications and issuing and renewing registrations.
  6. The department shall have the authority to assess and collect from registered entities, the appraisal management companies (AMC) federal registry fee in any amount assessed by the appraisal subcommittee of the Federal Financial Institutions Examination Council or its successor entity, and transmit the fee to the Federal Financial Institutions Examination Council.
  7. A federally regulated appraisal management company operating in this state shall report to the department any information necessary for the department to assess, collect, and forward the AMC federal registry fee in any amount assessed by the appraisal subcommittee of the Federal Financial Institutions Examination Council or its successor entity.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1; P.L. 2019, ch. 88, art. 2, § 2.

5-20.9-8. Expiration of registration.

A registration granted by the department pursuant to this chapter shall be valid for two (2) years from the date on which it is issued.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-9. Grounds for denial, suspension, or revocation of registration — Fines and penalties.

  1. The department may deny, censure, suspend, or revoke a registration of an appraisal management company issued under this chapter, levy fines or impose civil penalties not to exceed five thousand dollars ($5,000) per violation, if in the opinion of the department, an appraisal management company is attempting to perform, has performed, or has attempted to perform any of the following acts:
    1. The appraisal management company has filed an application for registration that, as of its effective date or as of any date after filing, contained any statement that, in light of the circumstances under which it was made, is false or misleading with respect to any material fact;
    2. The appraisal management company has violated or failed to comply with any provision of this chapter, or any rule adopted by the department;
    3. The appraisal management company is permanently or temporarily enjoined by any court of competent jurisdiction from engaging in or continuing any conduct or practice involving any aspect of the real estate appraisal management business;
    4. The appraisal management company or a controlling person thereof is the subject of an order of the department or any other state appraiser regulatory agency denying, suspending, or revoking that person’s license as a real estate appraiser;
    5. The appraisal management company acted as an appraisal management company while not properly registered with the department;
    6. The appraisal management company has failed to pay the proper filing or renewal fee under this chapter;
    7. The appraisal management company has demonstrated incompetence, untrustworthiness, or conduct or practices that render the applicant unfit to perform appraisal management services; or
    8. The appraisal management company has committed any of the prohibited practices set forth in this chapter or in the department’s regulations.
  2. The department shall provide written notice of the denial, suspension, or revocation of a registration under this chapter. Any party aggrieved by the department’s decision regarding registration issuance or renewal may, within ten (10) days of the decision, appeal the matter to the director by submitting a written request for a formal hearing to be conducted in accordance with the provisions of § 5-20.9-17 .

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-10. Owner requirements.

  1. An appraisal management company applying for a registration in this state may not be owned or controlled by a person if such person has had a license or certification to act as an appraiser denied or revoked in this state or in any other state, or who is not of good moral character as determined by the director.
  2. Each owner or controlling person of an appraisal management company in this state shall certify to the department that such person has never had a license to act as an appraiser denied, suspended, or revoked in this state or in any other state.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-11. Controlling person and review appraiser employees.

  1. Each appraisal management company applying to the department for a registration in this state shall designate one controlling person who will be the principal contact for all communication between the department and the appraisal management company.
  2. Any employee of the appraisal management company who has the responsibility to review the work of independent fee appraisers must have a current USPAP certification.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-12. Verification of appraiser licensure or certification.

An appraisal management company registered in this state pursuant to this chapter may not enter into contracts or agreements with an independent fee appraiser for the performance of residential real estate appraisal services unless that person is licensed or certified and in good standing pursuant to chapter 20.7 of this title.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-13. Appraiser independence.

  1. It shall be unlawful for any employee, director, officer, or agent of an appraisal management company registered in this state to influence or attempt to influence the development, reporting, or review of an appraisal through coercion, extortion, collusion, compensation, instruction, inducement, intimidation, bribery, or in any other manner. Examples of unlawful influence include, but are not limited to:
    1. Withholding or threatening to withhold timely payment for an appraisal except in cases of breach of contract or substandard performance of services;
    2. Withholding or threatening to withhold future business for an independent appraiser, or demoting or terminating or threatening to demote or terminate an independent appraiser;
    3. Expressly or impliedly promising future business, promotions, or increased compensation for an independent appraiser;
    4. Conditioning the request for an appraisal service or the payment of an appraisal fee or salary or bonus on the opinion, conclusion, or valuation to be reached, or on a preliminary estimate or opinion requested from an independent appraiser;
    5. Requesting that an independent appraiser provide an estimated, predetermined, or desired valuation in an appraisal report, or provide estimated values or comparable sales at any time prior to the independent appraiser’s completion of an appraisal service;
    6. Providing to an independent appraiser an anticipated, estimated, encouraged, or desired value for a subject property or a proposed or target amount to be loaned to the borrower, except that a copy of the sales contract for purchase transactions may be provided;
    7. Providing to an independent appraiser, or any entity or person related to the appraiser, stock or other financial or nonfinancial benefits;
    8. Removing an appraiser from a list of qualified appraisers, or adding an appraiser to an exclusionary list of disapproved appraisers, in connection with the influencing or attempting to influence an appraisal. This prohibition does not preclude the management of appraiser lists for bona fide administrative or quality-control reasons based on written policy;
    9. Obtaining, using, or paying for a second or subsequent appraisal or ordering an automated valuation model in connection with a mortgage financing transaction unless there is a reasonable basis to believe that the initial appraisal was flawed or tainted and such basis is clearly and appropriately noted in the loan file, or unless such appraisal or automated valuation model is done pursuant to a bona fide pre-funding or post-funding appraisal review or quality control process; or
    10. Any other act or practice that impairs or attempts to impair an appraiser’s independence, objectivity, or impartiality.
  2. Nothing in subsection (a) of this section shall be construed as prohibiting the appraisal management company from requesting that an independent fee appraiser:
    1. Consider additional property information;
    2. Provide additional information about the basis for a valuation; or
    3. Correct objective factual errors in an appraisal report.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-14. Prohibited practices.

An appraisal management company registered in this state shall not:

  1. Require an independent fee appraiser to collect the appraisal fee from a borrower, homeowner, or other person;
  2. Require an independent fee appraiser to provide the company with the appraiser’s digital signature;
  3. Alter, amend, or change an appraisal report submitted by an independent fee appraiser in any fashion, including removing the appraiser’s signature or adding information to or removing information from the report;
  4. Transmit an appraisal to the appraisal management company’s client if the appraisal has been altered in any fashion after it was transmitted to the appraisal management company; or
  5. Require an independent fee appraiser to sign any indemnification agreement that would require the independent fee appraiser to defend and hold harmless the appraisal management company or any of its agents, employees, or independent contractors for any liability, damage, losses, or claims arising out of the services performed by the appraisal management company.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-15. Adjudication of disputes between an appraisal management company and an appraiser.

  1. Except within the first thirty (30) days after an independent appraiser is added to the appraiser panel of an appraisal management company, an appraisal management company may not remove an appraiser from its appraiser panel, or otherwise refuse to assign requests for real estate appraisal services to an independent appraiser without:
    1. Notifying the appraiser in writing of the reasons why the appraiser is being removed from the appraiser panel of the appraisal management company, including the alleged statutory or USPAP violation, if any; and
    2. Providing an opportunity for the appraiser to respond to the notification of the appraisal management company.
  2. An appraiser that is removed from the appraiser panel of an appraisal management company for alleged illegal conduct, violation of the USPAP, or violation of state licensing statutes, may file a complaint with the department for a review of the decision of the appraisal management company. The review of the department in any such case is limited to determining whether the appraisal management company has complied with subsection (a) of this section and whether the appraiser has committed a violation of state law, state licensing standards, or a violation of the USPAP.
  3. If, after opportunity for hearing and review, the department determines that an appraisal management company acted improperly in removing an appraiser from the appraiser panel, or that an appraiser did not commit a violation of law, a violation of the USPAP, or a violation of state licensing standards, the department may order that an appraiser be restored to the appraiser panel of the appraisal management company that was the subject of the complaint, or impose any other administrative penalties set forth in regulations.
  4. Hearings will be conducted in accordance with § 5-20.9-17 , chapter 35 of title 42, and the department’s rules of procedure for administrative hearings.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-16. Investigations.

  1. If the department has reasonable grounds to believe that an appraisal management company has violated the provisions of this chapter or that facts exist that would be the basis for an order against an appraisal management company, the department may at any time investigate or examine the books, accounts, records, and files of any registrant or other person relating to the complaint or matter under investigation. The department may require any registrant or other person to submit a criminal history record check in connection with any examination or investigation. Refusal to submit the requested criminal history record check shall be grounds for disciplinary action. The reasonable cost of this investigation or examination shall be charged against the registrant.
  2. The department shall have the power to issue subpoenas requiring the attendance of persons and the production of papers and records before the department in any hearing, investigation, inquiry, or other proceeding conducted by it. Upon the production of any papers, records, or documents, the department shall have the power to authorize true copies thereof to be substituted in the permanent record of the matter in which the books, records, or documents shall have been introduced in evidence.
  3. The department may from time to time conduct routine examinations of the books and records of an appraisal management company registered with the department in order to determine the compliance with this chapter and any rules promulgated thereunder.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-17. Order to cease and desist.

  1. If the director has reason to believe that any person, firm, corporation, or association is conducting any activities requiring registration under this chapter without obtaining registration or, after the denial, suspension, or revocation of a registration conducts any activities requiring registration under this chapter, the department may issue an order to that person, firm, corporation, or association commanding them to appear before the department at a hearing to be held no sooner than ten (10) days nor later than twenty (20) days after issuance of that order to show cause why the department should not issue an order to that person to cease and desist from any violations of this chapter.
  2. The order to show cause may be served on any person, firm, corporation, or association named in the order in the same manner that summons in a civil action may be served, or by mailing a copy of the order to that person at any address at which he or she has done business or at which he or she lives. If, upon that hearing, the department is satisfied that the person is in fact violating any provision of this chapter, the department may order that person, in writing, to cease and desist from that violation.
  3. All hearings shall be governed in accordance with chapter 35 of title 42, the “administrative procedures act.” If that person fails to comply with an order of the department after being afforded a hearing, the superior court has jurisdiction upon complaint of the department to restrain and enjoin that person from violating this chapter.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-18. Hearing before revocation or suspension or refusal of registration.

  1. Before refusing to issue a registration or suspending or revoking a registration, the director shall notify the applicant or registrant of his or her intended action and the grounds for the action. The applicant or registrant may, within twenty (20) days, file with the director a request for a hearing setting out an answer to the grounds specified in the notification. The director shall consider the answer and set a date for the hearing, notifying the applicant or registrant of that date at least twenty (20) days prior to the hearing date.
  2. Before refusing to issue a registration or suspending or revoking a registration upon the verified written complaint of any person setting out a cause of action under this chapter, the director shall, in writing, notify the accused applicant or registrant of its receipt of the complaint, enclosing a copy of the complaint. The accused applicant or registrant shall, within twenty (20) days, file with the department its answer to the complaint or complaints.
  3. The department shall transmit a copy of the answer to the complainant or complainants and set a time and place for a hearing, which shall be at least twenty (20) days prior to the hearing date.
  4. All notices and answers required or authorized to be made or filed under this section shall be satisfied by personal service on the controlling person of the registrant, or the registrant’s agent for service of process in this state, or by sending the notice to the controlling person of the registrant or to the applicant to the last-known address on file with the department. If served personally, the time runs from the date of service; if served by mail, from the postmarked date of the letter enclosing the document.
  5. The director shall render a decision on any application or complaint after the final hearing in the matter and shall immediately notify the parties to the proceedings, in writing, of its rulings, orders, or decisions. If the matter contained in the complaint has been filed or made a part of a case pending in any court in this state, the director may then withhold its decision until the court action has been concluded.
  6. Hearings shall be held in accordance with rules promulgated by the department in conformity with the provisions of the administrative procedures act, chapter 35 of title 42 (“APA”). Any party aggrieved by a final administrative decision of the director may appeal the decision in accordance with the provisions of the APA.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

5-20.9-19. Rulemaking authority.

The department shall create and adopt rules that promote and effectuate the purposes of this chapter.

History of Section. P.L. 2017, ch. 14, § 1; P.L. 2017, ch. 26, § 1.

Chapter 21 Second-Hand Dealers

5-21-1. Local licensing — Fees — Penalty — Record of transaction.

  1. The city or town council of any city or town is authorized to provide by ordinance for the issuing and revocation at pleasure of licenses to all persons selling, purchasing, bartering, and dealing in junk, old metals, and any other second-hand articles, and to all persons establishing, operating, or maintaining automobile junkyards, subject to any conditions and restrictions and for a term not exceeding one year that may be in the like manner prescribed; and also for charging and collecting fees for those licenses. The fees in the like manner prescribed shall not exceed the sum of one hundred dollars ($100) for the keeper of a shop or storehouse for the reception of any junk, old metals, or second-hand articles that is not an automobile junkyard; the sum of five dollars ($5.00) for any foundryperson or other person receiving the same for the purpose of melting or converting the junk, old metals, or second-hand articles into castings; the sum of five dollars ($5.00) for any gatherer of these items in any bag, wagon, or cart; or the sum of one hundred dollars ($100) for any person establishing, operating, or maintaining an automobile junkyard; and also to fix a penalty for carrying on that business without a license, or in violation of any ordinance or regulation made as authorized in this chapter, not exceeding for any one offense a fine of five hundred dollars ($500) or imprisonment not exceeding six (6) months.
  2. The ordinance shall provide that each person purchasing or receiving old or used metals other than junked automobiles or automobile parts shall maintain a record of each purchase or receipt. The record shall include the date of the transaction, the name, address, telephone number, and signature of the person from whom the old or used metals are purchased or received; a description of the old or used metals; and the price paid for the old or used metals. The records so kept shall be produced at the request of law enforcement officials.

History of Section. P.L. 1902, ch. 1058, § 1; G.L. 1909, ch. 197, § 1; G.L. 1923, ch. 224, § 1; G.L. 1938, ch. 398, § 1; G.L. 1956, § 5-21-1 ; P.L. 1965, ch. 138, § 1; P.L. 1990, ch. 521, § 1; P.L. 2008, ch. 216, § 1.

Cross References.

Actions by and against towns, § 45-15-1 et seq.

Licensing of automobile wrecking and salvage yards, § 42-14.2-1 et seq.

Pawnbrokers prohibited from engaging in business, § 19-26-7 .

Veteran’s certificate, renewal on discharge, § 30-20-1 .

Comparative Legislation.

Second-hand dealers:

Conn. Gen. Stat. § 21-9 et seq.

Mass. Ann. Laws ch. 140, § 54 et seq.

NOTES TO DECISIONS

Constitutionality.

The court could not determine the constitutionality of the 1965 amendment of this act where the questions certified did not specify which section or sections of the amending act were claimed to be unconstitutional. Moon v. Cole, 101 R.I. 726 , 227 A.2d 116, 1967 R.I. LEXIS 827 (1967).

This section is an unconstitutional delegation of legislative power in that it allows town councils unlimited discretion to renew or revoke licenses. Metals Recycling Co. v. Maccarone, 527 A.2d 1127, 1987 R.I. LEXIS 522 (R.I. 1987).

Denial of Renewal.

Where report of investigating officer showed that petitioner had exceeded the limits of his license by conducting the business on premises for which no license had been issued and by using them in the conduct of his business had invaded portions of the public highway, evidence was sufficient to support the bureau’s ruling denying the issuance of the renewal license. Fink v. Bureau of Licenses, 90 R.I. 408 , 158 A.2d 820, 1960 R.I. LEXIS 34 (1960).

Powers of Licensing Authority.

Until the licensing authority has complied with the provisions of § 5-21-2 concerning opportunity to file objections to the granting of a license, it is without jurisdiction to grant the license. Acme Development Co. v. Bureau of Licenses, 87 R.I. 11 , 137 A.2d 422, 1957 R.I. LEXIS 138 (1957).

The bureau of licenses is vested with broad powers by the state enabling act and the pertinent city ordinance, however, it is equally well established that such power cannot be unlimited if it is to withstand possible attack on the ground of unconstitutionality. But in this case, in denying a license to deal in junk it exceeded its authority in basing the denial on the ground that the land for which the license was sought was surrounded by numerous residences when in fact it was not. D. O. B. Properties v. Bureau of Licenses, 90 R.I. 23 , 153 A.2d 563, 1959 R.I. LEXIS 113 (1959).

In a petition to review action of the town council denying petitioner’s application for a license to operate a junk yard on his land, petitioner’s challenge of the constitutionality of § 5-21-2 was not properly before the court in that the council acted under and pursuant to the power granted by this section to issue and revoke such licenses at their pleasure. Mase v. Exeter Town Council, 93 R.I. 453 , 176 A.2d 389, 1962 R.I. LEXIS 1 (1962).

Purchase of Business.

The purchaser of a junk yard did not acquire right to carry on the junk business because the seller had such right. Padula v. Town Council of W. Greenwich, 94 R.I. 196 , 179 A.2d 334, 1962 R.I. LEXIS 50 (1962).

Record of Licensing.

A city council acting under this section must compile some sort of record of its action in order that such action be subject to judicial review. Eastern Scrap Servs. v. Harty, 115 R.I. 260 , 341 A.2d 718, 1975 R.I. LEXIS 1148 (1975).

Validity of Ordinance.

A licensing provision under a city ordinance relating to second hand dealers where it contained no penalty but depended for its enforcement on the general penalty clause of the revised ordinances which was not in accordance with the provisions of this section was beyond the power of the city as granted by the legislature. State v. Krzak, 97 R.I. 156 , 196 A.2d 417, 1964 R.I. LEXIS 55 (1964).

The automobile junkyard licensing ordinance of a town was not invalid because it exceeded the authority delegated by this section by providing for both fine and imprisonment for violations, as the use of the word “and” was an obvious clerical error and the court will interpret the ordinance as providing for fine “or” imprisonment. Scituate v. O'Rourke, 103 R.I. 499 , 239 A.2d 176, 1968 R.I. LEXIS 822 (1968).

Collateral References.

Injunction as remedy against prosecution against conducting business without a license. 167 A.L.R. 915.

Regulation of junk dealers. 30 A.L.R. 1427; 45 A.L.R.2d 1391.

Validity, construction, and application of zoning ordinance relating to operation of junk yard or scrap metal processing plant. 50 A.L.R.3d 837.

Zoning laws prescribing conditions of business designed to avoid nuisance. 173 A.L.R. 272.

5-21-2. Hearing and objections by neighboring landowners.

  1. The local licensing authority of a city or town, before granting a license under this chapter to keep a shop or storehouse for the reception of any junk, old metals, or other second-hand articles or to establish, operate, or maintain an automobile junkyard, in any location not lawfully occupied for that purpose at the time of the application for that license, shall hold a public hearing, notice of which shall be posted at least seven (7) days but not more than fourteen (14) days prior to the hearing in not less than two (2) public places in that city or town and in a newspaper of general circulation in that city or town where the shop, storehouse, or junkyard is to be established, operated, or maintained. Before the local licensing authority posts or publishes a notice of a hearing, the local licensing authority shall collect from the applicant for the license a fee of ten dollars ($10.00), plus the cost of posting and publishing the notice.
  2. No license shall be granted under this chapter to the keeper of any shop or storehouse for the reception of any junk, old metals, or other second-hand articles or to a person establishing, operating, or maintaining an automobile junkyard, in any location not lawfully occupied for that purpose at the time of the application for the license, where the owners or occupants of the greater part of the land within two hundred feet (200´) of that building or place file with the board, city or town council, respectively, having jurisdiction to grant licenses, their objection to the granting of the license. This subsection does not apply to any applicant who is the keeper of a shop or storehouse, or automobile junkyard, that is being acquired under eminent domain proceedings, who is applying for licensing within § 5-21-1 within the same city or town in which he or she was formerly licensed.

History of Section. P.L. 1902, ch. 1058, § 2; P.L. 1903, ch. 1097, § 1; G.L. 1909, ch. 197, § 2; G.L. 1923, ch. 224, § 2; G.L. 1938, ch. 398, § 2; G.L. 1956, § 5-21-2 ; P.L. 1963, ch. 208, § 1; P.L. 1965, ch. 138, § 1.

NOTES TO DECISIONS

Constitutionality.

This section is not unconstitutional as an improper delegation of legislative power. Bourque v. Dettore, 589 A.2d 815, 1991 R.I. LEXIS 55 (R.I. 1991).

This section is not unconstitutionally vague and does not violate due process or equal protection of the laws. Bourque v. Dettore, 589 A.2d 815, 1991 R.I. LEXIS 55 (R.I. 1991).

Denial of License on Other Grounds.

This section did not apply where application of person for license for junk yard was advertised, objectors whose residences were not in evidence came and spoke against it, person desiring license was present but did not speak when given the opportunity, and the five members of the council were within their rights in denying the application without any application of this section. Padula v. Town Council of W. Greenwich, 94 R.I. 196 , 179 A.2d 334, 1962 R.I. LEXIS 50 (1962).

Where the ordinance fixes a standard for the exercise of discretion, it is clear that there are grounds under the ordinance upon which licensure may be denied other than that set forth in this section. Petitioner’s contention that failure of the record to disclose objections in the required percentage of this section making a decision in favor of his application mandatory is therefore without merit. Novak v. City Council of Pawtucket, 99 R.I. 41 , 205 A.2d 589, 1964 R.I. LEXIS 41 (1964).

License for Existing Business.

Where original license was granted with improper address, bureau of licenses could not grant application for renewal containing proper address without complying with this section since prior licenses were invalid. Acme Development Co. v. Bureau of Licenses, 87 R.I. 11 , 137 A.2d 422, 1957 R.I. LEXIS 138 (1957).

Until the statutory notice is given to potential remonstrants of the pendency of an application for licensing of junk shops and second hand stores, those premises with respect to which notice has not been given must be considered as a location not occupied for such purpose at the time of the application and such application must be considered as an application for a new license for such lots for which no license had previously been granted. Fink v. Bureau of Licenses, 90 R.I. 408 , 158 A.2d 820, 1960 R.I. LEXIS 34 (1960).

Where licensee occupied premises not shown on license, board was justified in denying renewal license including that address since the license for the premises would be for a “new” license for which notice would be required. Fink v. Bureau of Licenses, 90 R.I. 408 , 158 A.2d 820, 1960 R.I. LEXIS 34 (1960).

An application for a license by the purchaser of the property of a licensee was appropriately treated as a new application. Newport Auto Salvage v. Town Council of Portsmouth, 502 A.2d 339, 1985 R.I. LEXIS 605 (R.I. 1985).

Notice.

Before licensing board can lawfully grant junk license at a location not occupied for such purpose at time of application therefor, this section impliedly requires notice to owners or occupants of land within two hundred feet of such location. Slefkin v. Board of Aldermen, 39 R.I. 525 , 99 A. 261, 1916 R.I. LEXIS 66 (1916).

Where notices were placed by town sergeant at town hall, grocery store, package store and tavern, these were public places even though they were privately owned since there was reasonable probability that the notices would be seen. Lambert v. Town Council of W. Greenwich, 106 R.I. 76 , 256 A.2d 1, 1969 R.I. LEXIS 597 (1969).

Petitions in Opposition.

Board properly included only the proportionate share of acreage from parcels of property owned by more than one individual where only one of the owners signed a petition or affidavit of objection. Goldberg v. Board of Licenses, 525 A.2d 1295, 1987 R.I. LEXIS 484 (R.I. 1987).

The phrase “within 200 feet of such building or place,” as contained in subsection (b), necessarily excludes the applicant’s property from the calculation of the area’s total footage. Goldberg v. Board of Licenses, 525 A.2d 1295, 1987 R.I. LEXIS 484 (R.I. 1987).

Collateral References.

Consent of adjacent owners to granting license to junk dealers, provision for. 30 A.L.R. 1435; 45 A.L.R.2d 1391.

5-21-3. “Automobile junkyard” defined.

As used in this chapter, “automobile junkyard” means a place where one or more unserviceable, discarded, worn-out, or junked automobiles, or bodies, engines, tires, parts, or accessories of junked automobiles are gathered together.

History of Section. P.L. 1965, ch. 138, § 1.

NOTES TO DECISIONS

Constitutionality.

Although to interpret this section as including within its scope any property on which was collected a miniscule accumulation of automobile parts and accessories, such as a pair of unserviceable windshield wipers or a few discarded sparkplugs, was literally correct, it was manifestly contrary to the intent of the legislature and did not render the statute unconstitutional because of vagueness and indefiniteness. Scituate v. O'Rourke, 103 R.I. 499 , 239 A.2d 176, 1968 R.I. LEXIS 822 (1968).

5-21-4. Conditions to licensing of automobile junkyard.

No license shall be granted for an automobile junkyard under § 5-21-1 unless:

  1. It is to be operated and maintained entirely within a building;
  2. It is to be operated and maintained exclusively for the purpose of salvaging the value as scrap of the material collected, as opposed to reselling parts to be used for the purpose for which they were originally manufactured, and is to be located in a built-up industrial area, or contiguous to a railroad siding, or on or contiguous to docking facilities; or
  3. It is:
    1. More than one thousand feet (1,000´) from the nearest edge of any highway on the interstate or primary system;
    2. More than six hundred feet (600´) from any other state highway;
    3. More than three hundred feet (300´) from any park, bathing beach, playground, school, church, or cemetery and is not within ordinary view from those places; and
    4. Screened from view either by natural objects or well-constructed and properly maintained fences at least six feet (6´) high acceptable to that city or town and in accordance with regulations as promulgated by the director of public works and as specified on the license.

History of Section. P.L. 1965, ch. 138, § 1; P.L. 1966, ch. 118, § 2.

NOTES TO DECISIONS

Conditions of License.

The conditions stated in this section are conditions precedent which must be met before license may be granted. Lambert v. Town Council of W. Greenwich, 106 R.I. 76 , 256 A.2d 1, 1969 R.I. LEXIS 597 (1969).

— Distance From State Highway.

Granting of license by town council which required the automobile junkyard to be “at least 300 feet from any highway” and “screened from view either by natural objects or fences” did not comply with this section and was in excess of the authority of the council. Lambert v. Town Council of W. Greenwich, 106 R.I. 76 , 256 A.2d 1, 1969 R.I. LEXIS 597 (1969).

— Screening From View.

Granting of license by town council which required the automobile junkyard to be “screened from view by natural objects or fences” without specifying a minimum height for fences did not comply with this section and was in excess of the authority of the council. Lambert v. Town Council of W. Greenwich, 106 R.I. 76 , 256 A.2d 1, 1969 R.I. LEXIS 597 (1969).

5-21-5. Misdemeanor to operate automobile junkyard in violation of § 5-21-4 — Enforcement.

  1. Notwithstanding any other provision of this chapter except § 5-21-6 , it is a misdemeanor to operate or maintain an automobile junkyard unless:
    1. It is to be operated and maintained entirely within a building;
    2. It is to be operated and maintained exclusively for the purpose of salvaging the value as scrap of the material collected, as opposed to reselling parts to be used for the purpose for which they were originally manufactured, and is to be located in a built-up commercial or industrial area, or contiguous to a railroad siding, or on or contiguous to docking facilities; or
    3. It is:
      1. More than one thousand feet (1,000´) from the nearest edge of any highway on the interstate or primary system;
      2. More than six hundred feet (600´) from any other state highway;
      3. More than three hundred feet (300´) from any park, bathing beach, playground, school, church, or cemetery and is not within ordinary view from those places; and
      4. Is screened from view either by natural objects or well-constructed and properly maintained fences at least six feet (6´) high.
  2. It is the duty of the state police and the police of the cities and towns to enforce this section, and any person violating this section shall, upon conviction for the first offense, be punished by a fine of not less than fifty dollars ($50.00) nor more than one hundred dollars ($100), or by imprisonment for not less than ten (10) days nor more than thirty (30) days, or by both the fine and imprisonment, and shall for a second or subsequent conviction be fined not less than one hundred dollars ($100) nor more than five hundred dollars ($500), or by imprisonment for not less than thirty (30) days nor more than six (6) months, or by both the fine and imprisonment.

History of Section. P.L. 1965, ch. 138, § 1; P.L. 1966, ch. 118, § 3.

NOTES TO DECISIONS

Constitutionality.

The court could not determine the constitutionality of P.L. 1965, ch. 138, where the questions certified did not specify which section or sections of the act were claimed to be unconstitutional. Moon v. Cole, 101 R.I. 726 , 227 A.2d 116, 1967 R.I. LEXIS 827 (1967).

5-21-6. Existing licensed automobile junkyards.

The provisions of §§ 5-21-4(1) , (2), (3)(ii), and (3)(iii) and 5-21-5(a)(1) , (a)(2), (a)(3)(ii), and (a)(3)(iii) do not apply to any automobile junkyard in existence and having a valid license issued pursuant to § 5-21-1 on May 6, 1966.

History of Section. P.L. 1965, ch. 138, § 1; P.L. 1966, ch. 118, § 4.

5-21-7. Severability.

If any clause, sentence, paragraph, or part of this chapter or their application to any person or circumstance is, for any reason, adjudged by a court of competent jurisdiction to be invalid, that judgment does not affect, impair, or invalidate the remainder of this chapter or its application to other persons or circumstances.

History of Section. P.L. 1965, ch. 138, § 1.

5-21-8. Warranty to accompany sales of electrical appliances.

Any dealer licensed under this chapter to sell second-hand electrical appliances is required to provide the purchaser of the electrical appliance with a three-day warranty of merchantability and fitness for a particular purpose as defined by title 6A. The dealer is not allowed to exclude that warranty by expressions like “as is,” “with all faults,” or other language that, in common understanding, calls the buyer’s attention to the exclusion of warranties.

History of Section. P.L. 1982, ch. 417, § 1.

Cross References.

Servicing of warranties, § 6A-2-329 .

Warranties of merchantability and fitness for particular use, § 6A-2-314 et seq.

Chapter 22 Shows and Exhibitions

5-22-1. City and town regulatory powers.

The city and town councils may license, regulate, and in those certain cases specifically set forth in § 5-22-5 , prohibit and suppress theatrical performances, rope, and wire dancing and all other shows and performances in their respective towns or cities, conforming to law.

History of Section. G.L. 1896, ch. 40, § 15; G.L. 1909, ch. 50, § 15; G.L. 1923, ch. 51, § 15; G.L. 1938, ch. 333, § 15; G.L. 1956, § 5-22-1 ; P.L. 1966, ch. 260, § 1.

Cross References.

Discriminatory practices as to accommodations prohibited, § 11-24-1 et seq.

Comparative Legislation.

Shows and exhibitions:

Conn. Gen. Stat. §§ 21-6 et seq., 29-129 et seq.

Mass. Ann. Laws ch. 140, § 181 et seq.

NOTES TO DECISIONS

Constitutionality.

Denial of a license for rock concerts by town pursuant to ordinance enacted as authorized by state statute was a valid exercise of police power where the denial was based upon ample evidence of fear of problems of trespass, traffic, and sanitation. Stepping Stone Enterprises, Ltd. v. Andrews, 531 F.2d 1, 1976 U.S. App. LEXIS 12431 (1st Cir.), cert. denied, 429 U.S. 823, 97 S. Ct. 74, 50 L. Ed. 2d 85, 1976 U.S. LEXIS 2466 (1976).

Agents.

Although plaintiffs did not submit a license application to the town council, but did make an allegation in their complaints that they authorized an agent to submit the license application on their behalf, when this assertion was read together with the remaining allegations in the complaint, with all doubts resolved in plaintiffs’ favor, the complaint established a limited principal-agent relationship for the purpose of submitting the license application, and as a result of this relationship, plaintiffs, as principals, thereby possessed the requisite standing to maintain the actions for the alleged illegal conduct of the town council, and the trial court erred when it granted the town council’s and the town treasurer’s motions to dismiss the two complaints pursuant to RCP 12(b)(6). Romanello v. Maguire, 122 R.I. 171 , 404 A.2d 833, 1979 R.I. LEXIS 2079 (1979).

Wrongful Denial.

Where cross-claim alleged that the town council acted in an arbitrary and capricious manner in denying a license application for a rock festival, and the allegations, if proved, would entitle festival promoters to relief for the wrongful denial of the license application, the trial justice erred when he failed to accept the allegations in the cross-claim as true but instead went outside the complaint and made his ruling based upon what he believed to be the finding of the superior court justice in an earlier motion to dismiss. Romanello v. Maguire, 122 R.I. 171 , 404 A.2d 833, 1979 R.I. LEXIS 2079 (1979).

Collateral References.

Advertising, validity, construction, and effect of statutes, ordinances, or regulations prohibiting or regulating advertising of intoxicating liquors. 20 A.L.R.4th 600.

Construction and application of statute or ordinance respecting amusements on premises licensed for sale of intoxicating liquor. 4 A.L.R.2d 1216.

Contributory negligence and assumption of risk by patron. 22 A.L.R. 616; 29 A.L.R. 30; 38 A.L.R. 358; 44 A.L.R. 204; 53 A.L.R. 857; 61 A.L.R. 2191; 98 A.L.R. 560; 16 A.L.R.2d 912; 20 A.L.R.2d 77; 21 A.L.R.2d 420; 38 A.L.R.3d 419.

Dancing, dance halls, dancing schools, etc., public regulation of. 48 A.L.R. 144; 60 A.L.R. 173.

Duty and degree of care as to patron of public amusement accidentally injured by cause other than assault, hazards of game or amusement, or condition of premises. 16 A.L.R.2d 912.

Duty and liability of owner or keeper of place of amusement respecting injuries to patrons. 22 A.L.R. 610; 29 A.L.R. 29; 38 A.L.R. 357; 44 A.L.R. 203; 53 A.L.R. 885; 61 A.L.R. 1289; 98 A.L.R. 557.

Exclusion of person (for reason other than color or race) from place of public entertainment or amusement. 1 A.L.R.2d 1165.

Failure to procure license, as affecting validity of contracts. 30 A.L.R. 898; 42 A.L.R. 1226; 118 A.L.R. 646.

Liability for injury to patron from defect in or fall of seat. 21 A.L.R.2d 420.

Liability for loss of hat, coat, or other property deposited by customer in place of business. 54 A.L.R.5th 393.

Liability of amusement operator for personal assault by employee upon customer, patron or other invitee. 34 A.L.R.2d 422.

Liability of amusement proprietor for injury to patron caused by pushing, crowding, etc. of other patrons. 20 A.L.R.2d 8.

Liability of dancehall proprietor or operator for injury to patron resulting from conditions of premises. 38 A.L.R.3d 419.

Liability of owner or operator of theatre or other amusement to patron assaulted by another patron. 75 A.L.R.3d 441.

Limiting liability of proprietor for injury to patron, effect of notice as to, on ticket for amusement device. 97 A.L.R. 582.

Positive duties of employer, liability for acts or omissions of independent contractor in respect of. 29 A.L.R. 798.

Proprietor’s liability for injury to patron through fault of independent contractor. 22 A.L.R. 620; 29 A.L.R. 31; 38 A.L.R. 358; 44 A.L.R. 205; 53 A.L.R. 858; 61 A.L.R. 1293; 98 A.L.R. 562.

Racial segregation. 38 A.L.R.2d 1190.

Refusing admission, or ejecting from place of amusement. 30 A.L.R. 951; 60 A.L.R. 1089.

Responsibility of operator of place of amusement for negligence of concessionaire or latter’s employees. 145 A.L.R. 962.

Revocation of licenses, grounds for. 79 A.L.R. 286.

Slippery condition of floor, liability for personal injury due to. 118 A.L.R. 431.

Usher, duty to furnish. 143 A.L.R. 71.

Validity, construction and effect of “Sunday closing” or “blue” laws — modern status. 10 A.L.R.4th 246.

Validity of license tax or fee on show or place of amusement. 58 A.L.R. 1340; 111 A.L.R. 778.

Validity of municipal admission tax for college football games or other college sponsored public events. 60 A.L.R.3d 1027.

Validity of ordinances restricting location of “adult entertainment” or sex-oriented businesses. 10 A.L.R.5th 538.

Validity of state or local regulation dealing with resale of tickets to theatrical or sporting events. 81 A.L.R.3d 655.

Validity of statutes and ordinances regulating operation of sexually oriented businesses — Legal issues and principles. 20 A.L.R.6th 161.

Validity of statutes and ordinances regulating the operation of sexually oriented businesses — Nature of regulation. 23 A.L.R.6th 573.

Validity of statutes and ordinances regulating operation of sexually oriented businesses — Types of businesses regulated. 21 A.L.R.6th 425.

5-22-1.1. Live entertainment — City of Providence.

The board of licenses for the city of Providence is authorized to license, regulate, or prohibit “live entertainment” in the city of Providence, including, but not limited to, live performances of music or sound by individuals, bands, musicians, disc jockeys, dancing, or karaoke, with or without charge, provided that “incidental entertainment” be permitted as of right, and no license shall be required. “Incidental entertainment” means background music provided at a restaurant, bar, nightclub, supper club, or similar establishment, limited to the following format:

  1. Live music performance limited to no more than a maximum of three (3) acoustic instruments that shall not be amplified by any means, electronic or otherwise; or
  2. Prerecorded music or streamed music played over a permanently installed sound system. If a bar or restaurant includes incidental entertainment, it cannot charge a cover charge; shall not allow dancing by patrons of the establishment; cannot employ flashing, laser, or strobe lights; and the maximum volume, irrespective of the format, is limited solely to the boundaries of the premises at all times, and shall permit audible conversation among patrons of the establishment.

History of Section. P.L. 2016, ch. 384, § 4; P.L. 2016, ch. 402, § 4.

5-22-2. City and town licenses for exhibitions.

Town and city councils may grant a license, for a term not exceeding one year, under any restrictions and regulations that they think proper, to the owner of any house, room, or hall in the town or city, for the purpose of permitting exhibitions in them. The license is revocable at the pleasure of the town or city council.

History of Section. G.L. 1896, ch. 40, § 17; G.L. 1909, ch. 50, § 17; G.L. 1923, ch. 51, § 17; G.L. 1938, ch. 333, § 17; G.L. 1956, § 5-22-2 .

NOTES TO DECISIONS

Constitutionality.

Denial of a license for rock concerts by town pursuant to ordinance enacted as authorized by state statute was a valid exercise of police power where the denial was based upon ample evidence of fear of problems of trespass, traffic, and sanitation. Stepping Stone Enterprises, Ltd. v. Andrews, 531 F.2d 1, 1976 U.S. App. LEXIS 12431 (1st Cir.), cert. denied, 429 U.S. 823, 97 S. Ct. 74, 50 L. Ed. 2d 85, 1976 U.S. LEXIS 2466 (1976).

Aggrieved Parties’ Action.

Although plaintiffs did not submit a license application to the town council, but did make an allegation in their complaints that they authorized an agent to submit the license application on their behalf, when this assertion was read together with the remaining allegations in the complaint, with all doubts resolved in plaintiffs’ favor, the complaint established a limited principal-agent relationship for the purpose of submitting the license application, and as a result of this relationship, plaintiffs, as principals, thereby possessed the requisite standing to maintain the actions for the alleged illegal conduct of the town council, and the trial court erred when it granted the town council’s and the town treasurer’s motions to dismiss the two complaints pursuant to RCP 12(b)(6). Romanello v. Maguire, 122 R.I. 171 , 404 A.2d 833, 1979 R.I. LEXIS 2079 (1979).

5-22-3. City and town regulation of closing times for shops, saloons, and places of evening resort.

Town and city councils may pass any ordinances, bylaws, and regulations, not inconsistent with law, that they may think proper, in relation to the time of closing shops, saloons, and other places of resort in the evening, within the limits of their respective towns or cities, and may prescribe penalties for their violation, not exceeding twenty dollars ($20.00) for each offense. Notwithstanding the provisions of any general or special law to the contrary, in the event that the 31st day of December in any year falls on a Saturday or Sunday, the time of opening and closing places of resort at which dancing is permitted may be regulated in the following manner:

  1. If the 31st day of December falls on a Saturday, the time of closing may be determined at not later than three o’clock (3:00) A.M. on Sunday, January 1;
  2. If the 31st day of December falls on a Sunday, the time of opening may be determined at not earlier than nine o’clock (9:00) P.M. on Sunday and the time of closing may be determined at not later than three o’clock (3:00) A.M. on Monday, January 1;
  3. If the December 31st falls on any other day of the week, the hour of closing may be determined at not later than three o’clock (3:00) A.M. the following day.

History of Section. G.L. 1896, ch. 40, § 27; G.L. 1909, ch. 50, § 28; G.L. 1923, ch. 51, § 28; G.L. 1938, ch. 333, § 29; G.L. 1956, § 5-22-3 ; P.L. 1962, ch. 242, § 1.

NOTES TO DECISIONS

Applicability.

Providence, R.I., Board of Licenses imposed an excessive fine on an “adult entertainment” establishment upon finding that it committed two violations of Providence, R.I., Ordinance 14-1 by staying open and providing entertainment beyond the hour permitted for such activities on two occasions, as the fine was limited by former R.I. Gen. Laws § 45-2-23 to $500 per violation and the Board had imposed a fine of $2,500; R.I. Gen. Laws § 5-22-3 was not controlling with respect to the amount of the fine that could be imposed in the circumstances. Cadillac Lounge, LLC v. City of Providence, 913 A.2d 1039, 2007 R.I. LEXIS 10 (R.I. 2007).

Pleadings.

Where cross-claim alleged that the town council acted in an arbitrary and capricious manner in denying a license application for a rock festival, and the allegations, if proved, would entitle festival promoters to relief for the wrongful denial of the license application, the trial justice erred when he failed to accept the allegations in the cross-claim as true but instead went outside the complaint and made his ruling based upon what he believed to be the finding of the superior court justice in an earlier motion to dismiss. Romanello v. Maguire, 122 R.I. 171 , 404 A.2d 833, 1979 R.I. LEXIS 2079 (1979).

Sunday Exhibitions.

Ordinance provision requiring $5 for Sunday motion picture licenses when $2 was required for weekday licenses was without legal sanction, where record failed to show that cost of policing Sunday exhibitions was greater than required for weekdays. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Collateral References.

Validity of statutes and ordinances regulating operation of sexually oriented businesses — Legal issues and principles. 20 A.L.R.6th 161.

Validity of statutes and ordinances regulating operation of sexually oriented businesses — Types of businesses regulated. 21 A.L.R.6th 425.

5-22-4. Town or city license required.

No person shall publicly or for pay, or for any profit or advantage to himself or herself, exhibit or promote or take part in any theatrical performance, or rope or wire dancing or other show or performance, or conduct, engage in, or promote any wrestling, boxing, or sparring match or exhibition, nor shall any person for any pecuniary profit or advantage to himself or herself, promote any public roller skating in rinks or halls, or give any dance or ball, without a license from the town or city council of the town or city in which that performance, show, exhibition, dance, or ball is sought to be given.

History of Section. G.L. 1896, ch. 103, § 1; G.L. 1909, ch. 124, § 1; G.L. 1923, ch. 129, § 1; G.L. 1938, ch. 362, § 1; G.L. 1956, § 5-22-4 .

Cross References.

Boxing and wrestling matches, § 41-5-1 et seq.

NOTES TO DECISIONS

Constitutionality.

Denial of a license for rock concerts by town pursuant to ordinance enacted as authorized by state statute was a valid exercise of police power where the denial was based upon ample evidence of fear of problems of trespass, traffic, and sanitation. Stepping Stone Enterprises, Ltd. v. Andrews, 531 F.2d 1, 1976 U.S. App. LEXIS 12431 (1st Cir.), cert. denied, 429 U.S. 823, 97 S. Ct. 74, 50 L. Ed. 2d 85, 1976 U.S. LEXIS 2466 (1976).

Aggrieved Parties’ Action.

Although plaintiffs did not submit a license application to the town council, but did make an allegation in their complaints that they authorized an agent to submit the license application on their behalf, when this assertion was read together with the remaining allegations in the complaint, with all doubts resolved in plaintiffs’ favor, the complaint established a limited principal-agent relationship for the purpose of submitting the license application, and as a result of this relationship, plaintiffs, as principals, thereby possessed the requisite standing to maintain the actions for the alleged illegal conduct of the town council, and the trial court erred when it granted the town council’s and the town treasurer’s motions to dismiss the two complaints pursuant to RCP 12(b)(6). Romanello v. Maguire, 122 R.I. 171 , 404 A.2d 833, 1979 R.I. LEXIS 2079 (1979).

Motion Picture Shows.

Motion picture shows are within the category of shows and exhibitions regulated by the statute. Thayer Amusement Corp. v. Moulton, 63 R.I. 182 , 7 A.2d 682, 1939 R.I. LEXIS 74 (1939).

Pleadings.

Where cross-claim alleged that the town council acted in an arbitrary and capricious manner in denying a license application for a rock festival, and the allegations, if proved, would entitle festival promoters to relief for the wrongful denial of the license application, the trial justice erred when he failed to accept the allegations in the cross-claim as true but instead went outside the complaint and made his ruling based upon what he believed to be the finding of the superior court justice in an earlier motion to dismiss. Romanello v. Maguire, 122 R.I. 171 , 404 A.2d 833, 1979 R.I. LEXIS 2079 (1979).

5-22-5. Local licensing of amusements.

Any city or town council, the board of police commissioners, or in the case of the city of Providence, the bureau of licenses, or any other licensing board or authority in any city or town may require a license for any place within its respective city or town at which any performances, shows, exhibitions, public roller skating, dances, or balls are presented or conducted for any term not exceeding one year, and may deny, revoke, or refuse to renew any such license only upon the ground that the place presents a danger to the public health or safety.

History of Section. G.L. 1896, ch. 103, § 2; G.L. 1909, ch. 124, § 2; P.L. 1915, ch. 1202, § 1; P.L. 1916, ch. 1401, § 1; P.L. 1920, ch. 1932, § 1; G.L. 1923, ch. 129, § 2; P.L. 1926, ch. 791, § 1; P.L. 1928, ch. 1154, § 1; P.L. 1928, ch. 1160, § 1; P.L. 1930, ch. 1528, § 1; P.L. 1932, ch. 1876, § 1; G.L. 1938, ch. 362, § 2; P.L. 1940, ch. 894, § 1; P.L. 1942, ch. 1131, § 1; P.L. 1943, ch. 1286, § 1; P.L. 1946, ch. 1691, § 1; P.L. 1946, ch. 1692, § 1; P.L. 1948, ch. 1999, § 1; P.L. 1948, ch. 2125, § 1; P.L. 1954, ch. 3283, § 1; G.L. 1956, § 5-22-5 ; P.L. 1966, ch. 260, § 1; P.L. 1985, ch. 100, § 1.

NOTES TO DECISIONS

Construction.

Although this section may purport to be a valid exercise of the police power, in failing to set forth acceptable obscenity standards, it is susceptible to an unconstitutional application of the police power when, in a given case, it appears that the licensing authority acting pursuant to the authority conferred by this section is demonstrably motivated by applying standards which constitute a denial of due process. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Ordinance of city of Providence which required that prior showing of motion picture sought to be licensed be made available to Providence Bureau of Licenses is valid, since it is clear from the statutory delegation of authority to submit question of obscenity for judicial determination, the right of prior review is conferred by necessary implication. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Where bureau of licenses for the city of Providence, which filed complaint to have film adjudged obscene and motion picture theater operator permanently enjoined from presenting or showing film in city, failed to prove that this film violated “contemporary community standards” by failing to present evidence that purported to establish that said film affronted any national community standard it, therefore, had not presented the evidence necessary to sustain its burden and had failed to prove its case. Scuncio v. Shipyard Drive--In Theatre, 110 R.I. 292 , 292 A.2d 873, 1972 R.I. LEXIS 912 (1972).

Delegation of Powers.

The statute was not unconstitutional under R.I. Const., Art. III as a delegation of legislative powers. Thayer Amusement Corp. v. Moulton, 63 R.I. 182 , 7 A.2d 682, 1939 R.I. LEXIS 74 (1939).

It is clear from a reading of this section that the legislature delegated its police power to regulate obscenity to the cities and towns in accordance with the procedural safeguards delineated in Freedman v. Maryland, 380 U.S. 51, 85 S. Ct. 734, 13 L. Ed. 2d 649 (1965). State v. Berberian, 427 A.2d 1298, 1981 R.I. LEXIS 1056 (R.I. 1981) (decided prior to 1985 amendment).

Hearing.

The statute does not require a formal hearing as a prerequisite to the denial of a license for a show or exhibition. Thayer Amusement Corp. v. Moulton, 63 R.I. 182 , 7 A.2d 682, 1939 R.I. LEXIS 74 (1939).

Bureau of police and fire could refuse to grant a hearing on application to show certain movie since the right to exhibit movies for pay is a privilege to be allowed within the discretion of the bureau in the absence of statutory mandate. Thayer Amusement Corp. v. Moulton, 63 R.I. 182 , 7 A.2d 682, 1939 R.I. LEXIS 74 (1939).

Action of bureau of police and fire in refusing without a hearing to grant license to show movie to public for pay because such movie was against public welfare and morals, did not violate R.I. Const., Art. I, § 10 , since this provision of the Constitution applies only to the rights of the accused in criminal prosecutions. Thayer Amusement Corp. v. Moulton, 63 R.I. 182 , 7 A.2d 682, 1939 R.I. LEXIS 74 (1939).

Action of bureau of police and fire in refusing application for license without a formal hearing was not a violation of due process under U.S. Const., Amend. 14. Thayer Amusement Corp. v. Moulton, 63 R.I. 182 , 7 A.2d 682, 1939 R.I. LEXIS 74 (1939).

This section leaves to the defendant the decision as to when the hearing shall commence; in all other respects, it contemplates that delay attributable to the complaining agency or the court would result in the granting of the license by way of mandamus, absent some mitigating circumstance as might appear in an appropriate case. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Issuance of License — Effect.

The issuance of a license by the local licensing board under this section for the subject films constituted an official and express assurance from which, absent a final judicial determination that the films were obscene, no criminal prosecutions against defendants under § 11-31-1 could attach. State v. Berberian, 427 A.2d 1298, 1981 R.I. LEXIS 1056 (R.I. 1981) (decided prior to 1985 amendment).

Motion Picture Shows.

Motion picture shows are regulated by the statute. Thayer Amusement Corp. v. Moulton, 63 R.I. 182 , 7 A.2d 682, 1939 R.I. LEXIS 74 (1939).

A license to show motion pictures publicly for a price is a mere privilege and is not in any sense a right of property. Thayer Amusement Corp. v. Moulton, 63 R.I. 182 , 7 A.2d 682, 1939 R.I. LEXIS 74 (1939); Bijou Amusement Co. v. Toupin, 63 R.I. 503 , 9 A.2d 852, 1939 R.I. LEXIS 118 (1939).

Motion picture shows are not a part of the public press, and R.I. Const., Art. I, § 20 , dealing with liberty of press, has no application to the provisions of this statute as applied to the licensing of such motion picture shows. Thayer Amusement Corp. v. Moulton, 63 R.I. 182 , 7 A.2d 682, 1939 R.I. LEXIS 74 (1939).

If a license is sought for a specified number of days or weeks which encompasses a Sunday or Sundays, there can be but a single exercise of prior restraint in the determination of whether the license requested for the time involved may be constitutionally denied, assuming that the license sought is for the same motion picture and that the place where the film is to be exhibited has been approved as required by § 5-22-13 . Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Notwithstanding one-week limitation on weekday licenses contained in ordinance of city of Providence, Providence bureau of licenses has the obligation, in granting motion picture license, to issue it for such period of time as the applicant may request, assuming that there is no substituted version for the showing of which a license might have been validly denied in the first instance. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Ordinance of city of Providence requiring that motion picture film be available for showing at the time application is made for licensing thereof and also that application be made not later than 48 hours prior to the first day on which the picture is to be shown was not patent harassment, but a valid regulatory measure, in situation where requirements resulted in nothing more than infrequent inconvenience. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Ordinance provisions requiring availability for previewing between 10 a.m. and 4 p.m. of motion pictures sought to be licensed did not work an unwarranted hindrance on drive-in theater whose facilities were not suitable for viewing purposes in the daytime. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

There is no requirement in this section that the licensing board actually view the films. State v. Berberian, 427 A.2d 1298, 1981 R.I. LEXIS 1056 (R.I. 1981).

Obscenity.

The withholding of a motion picture license and the referring of the question to the Superior Court as authorized by this section, has validity only when the licensing authority’s determination conforms to the standards set forth in A Book Named “John Cleland’s Memoirs of a Woman of Pleasure” v. Massachusetts, 383 U.S. 413, i.e., only if the following three elements coalesce: (a) the dominant theme of the material taken as a whole appeals to a prurient interest in sex; (b) the material is patently offensive because it affronts contemporary community standards relating to the description or representation of sexual matters; and (c) the material is utterly without redeeming social value. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

In an action to declare movie obscene city bureau of licenses has burden to present evidence on question whether allegedly obscene movie violates “contemporary community standards.” Scuncio v. Columbus Theatre, 108 R.I. 613 , 277 A.2d 924, 1971 R.I. LEXIS 1316 (1971).

Since it is a national constitution that is being expounded, the status of allegedly obscene material in movie must be determined by a national rather than Rhode Island standard. Scuncio v. Columbus Theatre, 108 R.I. 613 , 277 A.2d 924, 1971 R.I. LEXIS 1316 (1971).

Power of Licensing Authorities.

Since the statute deals with a class of enterprises which the legislature in rightful exercise of police power deemed possibly harmful to public morals and safety, licensing authorities in the municipalities can determine what public shows for pay may be given within their territorial limits. Bijou Amusement Co. v. Toupin, 63 R.I. 503 , 9 A.2d 852, 1939 R.I. LEXIS 118 (1939).

If an exhibitor is interested in only showing on a Sunday, the licensing authority is authorized by § 5-22-8 to issue the license requested (assuming that the place where the film is to be exhibited has been approved as required by § 5-22-13 ) and under this section may deny such license only on the ground that the picture sought to be shown is obscene in a constitutional sense. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Although this provision vests the licensing authority of a city or town with the power to deny, revoke, or refuse to renew any license, that power is limited to licenses for activities or locations that present a danger to the public health or safety, and does not extend to decisions turning on the appropriateness of a location for any particular activity. Cadillac Lounge, LLC v. City of Providence, 763 A.2d 993, 2001 R.I. LEXIS 16 (R.I. 2001).

Promotion of Education.

The statute did not violate R.I. Const., Art. XII, § 1 , having to do with the promotion of education by the general assembly, as that provision does not prohibit police power or guarantee any rights or privileges to the citizens of the state. Thayer Amusement Corp. v. Moulton, 63 R.I. 182 , 7 A.2d 682, 1939 R.I. LEXIS 74 (1939).

Review of Action of Local Authorities.

Certiorari was available to review action of bureau of police and fire in refusing the application of petitioner to show a certain movie as the bureau’s decision was final, raising questions of law without adequate remedy elsewhere, whether designated as an administrative or judicial hearing. Thayer Amusement Corp. v. Moulton, 63 R.I. 182 , 7 A.2d 682, 1939 R.I. LEXIS 74 (1939).

Supreme court would not on certiorari reverse bureau of police and fire decision refusing license to show certain movie, where bureau viewed picture reviews and without oppressive conduct found movie against public welfare and morals, since fact findings in administrative action were conclusive even though bureau had no regulations regarding licensing. Thayer Amusement Corp. v. Moulton, 63 R.I. 182 , 7 A.2d 682, 1939 R.I. LEXIS 74 (1939).

The general assembly, in adopting this section, pragmatically safeguarded the right of a motion picture exhibitor against unwarranted prior restraint, inasmuch as the section conforms with the minimum procedural protection laid down in Freedman v Maryland, 380 U.S. 51, stated as follows: the burden of proving obscenity must be statutorily placed on the censor; the finality of the obscenity controversy may not rest with the censuring licensing authority but rather in a judicial determination, adversary in nature; and the statute under which prior restraint is authorized must expressly provide for a prompt submission of the controversy to the courts as well as an expeditious final adjudication thereof. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Collateral References.

Validity of ordinances restricting location of “adult entertainment” or sex-oriented businesses. 10 A.L.R.5th 538.

Validity of statutes and ordinances regulating operation of sexually oriented businesses — Legal issues and principles. 20 A.L.R.6th 161.

Validity of statutes and ordinances regulating operation of sexually oriented businesses — Types of businesses regulated. 21 A.L.R.6th 425.

5-22-6. Providence — Sunday activities.

The bureau of licenses of the city of Providence may license public automobile shows, ice skating, ice polo, roller skating, and hockey games in rinks and halls between the hours of two o’clock (2:00) P.M. and midnight on the first day of the week.

History of Section. G.L. 1923, ch. 129, § 2; P.L. 1926, ch. 791, § 1; P.L. 1928, ch. 1154, § 1; P.L. 1928, ch. 1160, § 1; P.L. 1930, ch. 1528, § 1; P.L. 1932, ch. 1876, § 1; G.L. 1938, ch. 362, § 2; P.L. 1940, ch. 894, § 1; P.L. 1942, ch. 1131, § 1; P.L. 1943, ch. 1286, § 1; P.L. 1946, ch. 1691, § 1; P.L. 1946, ch. 1692, § 1; P.L. 1948, ch. 1999, § 1; P.L. 1948, ch. 2125, § 1; impl. am. P.L. 1951, ch. 2721, § 4; P.L. 1954, ch. 3283, § 1; G.L. 1956, § 5-22-6 .

Cross References.

Athletic games on Sunday, § 41-6-1 et seq.

Comparative Legislation.

Observance of Sunday:

Mass. Ann. Laws ch. 136, § 1 et seq.

Collateral References.

Construction of statute or ordinance prohibiting or regulating sports and games on Sunday. 24 A.L.R.2d 813.

Discrimination by Sunday law or ordinance between different kinds of business, constitutionality of. 10 A.L.R.4th 246.

5-22-7. Sunday roller skating.

The city council of the city of Pawtucket or any city or town council may license roller skating between the hours of two o’clock (2:00) P.M. and midnight on the first day of the week.

History of Section. G.L. 1938, ch. 362, § 2; P.L. 1948, ch. 2125, § 1; P.L. 1954, ch. 3283, § 1; G.L. 1956, § 5-22-7 .

5-22-8. Performances and movies after 1 P.M. on Sunday.

The bureau of licenses of the city of Providence, the police commissioners of the city of Woonsocket, the town councils of the towns of Burrillville and West Warwick, and the city council or other licensing board of the cities of Central Falls, Cranston, Pawtucket, and Newport may authorize the performance for pay or profit of vocal, instrumental, or orchestral entertainments and lectures of an instructive character, plays, or legitimate theater performances, and vaudeville performances of juggling and stage dancing having the approval of the licensing body of the city or town where those performances are given, and moving picture exhibitions, consisting of any pictures that have the approval of the national board of review and the licensing body of the city or town where those pictures are to be shown, on the first day of the week after the hour of one o’clock (1:00) P.M., but the license does not authorize the vending or serving of any foods or refreshments of any kind or nature on the first day of the week.

History of Section. G.L. 1923, ch. 129, § 2; P.L. 1926, ch. 791, § 1; P.L. 1928, ch. 1154, § 1; P.L. 1928, ch. 1160, § 1; P.L. 1930, ch. 1528, § 1; P.L. 1932, ch. 1876, § 1; G.L. 1938, ch. 362, § 2; P.L. 1940, ch. 894, § 1; P.L. 1942, ch. 1131, § 1; P.L. 1943, ch. 1286, § 1; P.L. 1946, ch. 1691, § 1; P.L. 1946, ch. 1692, § 1; P.L. 1948, ch. 1999, § 1; P.L. 1948, ch. 2125, § 1; G.L. 1956, § 5-22-8 ; P.L. 1964, ch. 182, § 1.

NOTES TO DECISIONS

Constitutionality.

The requirement of this section that only such motion pictures as meet with the approval of the national board of review may be shown is without constitutional sanction. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Denial of License.

If an exhibitor is interested in only showing on a Sunday, the licensing authority is authorized by this section to issue the license requested (assuming that the place where the film is to be exhibited has been approved as required by § 5-22-13 ) and under § 5-22-5 may deny such license only on the ground that the picture sought to be shown is obscene according to constitutional standards. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Determination of Obscenity With Respect to Day Shown.

The standard binding on the licensing authority when purporting to exercise prior restraint is no different with regard to the issuance of a Sunday license than that for secular days, namely, the three elements and coalescence thereof enunciated in A Book Named “John Cleland’s Memoirs of a Woman of Pleasure” v. Massachusetts, 383 U.S. 413; thus to the extent then that this section seems to call for separate licenses vis-`-vis Sundays and secular days, it is defective. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

If a license is sought for a specified number of days or weeks which encompasses a Sunday or Sundays, there can be but a single exercise of prior restraint in the determination of whether the license requested for the time involved may be constitutionally denied, assuming that the license sought is for the same motion picture and that the place where the film is to be exhibited has been approved as required by § 5-22-13 . Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

5-22-9. Sunday amusements, performances, and movies in certain cities and towns.

The city or town councils of Cumberland, Coventry, East Providence, East Greenwich, Hopkinton, Westerly, and Lincoln may authorize the performance for pay or profit of vocal, instrumental, or orchestral entertainments and lectures of an instructive character, the operation of amusement parks, the operation of miniature golf courses, and vaudeville performances of juggling and stage dancing having the approval of the chief of police, and moving picture exhibitions consisting of any pictures that have the approval of the national board of review and the chief of police, on the first day of the week, during any hours of the day that the city or town council determines, in accordance with the provisions of § 5-22-5 .

History of Section. P.L. 1931, ch. 1831, § 1; P.L. 1932, ch. 1983, § 1; P.L. 1936, ch. 2402, § 1; P.L. 1937, ch. 2482, § 1; G.L. 1938, ch. 362, § 2; P.L. 1940, ch. 894, § 1; P.L. 1942, ch. 1131, § 1; P.L. 1943, ch. 1286, § 1; P.L. 1946, ch. 1691, § 1; P.L. 1946, ch. 1692, § 1; P.L. 1948, ch. 1999, § 1; P.L. 1948, ch. 2125, § 1; P.L. 1954, ch. 3283, § 1; G.L. 1956, § 5-22-9 ; P.L. 1971, ch. 18, § 1.

5-22-10. Little Compton — Sunday performances.

The town council of Little Compton may authorize the performance for pay or profit of vocal, instrumental, or orchestral entertainments and lectures of an instructive character, and moving-picture exhibitions on the first day of the week after the hour of three o’clock (3:00) P.M. in accordance with the provisions of § 5-22-5 .

History of Section. P.L. 1930, ch. 1654, § 1; G.L. 1938, ch. 362, § 2; P.L. 1940, ch. 894, § 1; P.L. 1942, ch. 1131, § 1; P.L. 1943, ch. 1286, § 1; P.L. 1946, ch. 1691, § 1; P.L. 1946, ch. 1692, § 1; P.L. 1948, ch. 1999, § 1; P.L. 1948, ch. 2125, § 1; P.L. 1954, ch. 3283, § 1; G.L. 1956, § 5-22-10 .

5-22-11. North Kingstown — Sunday performances.

The town council of North Kingstown may authorize the performance for pay or profit of vocal, instrumental, or orchestral entertainments and lectures of an instructive character, and moving picture exhibitions on the first day of the week after the hour of two o’clock (2:00) P.M. in accordance with the provisions of § 5-22-5 .

History of Section. G.L. 1938, ch. 362, § 2; P.L. 1954, ch. 3283, § 1; G.L. 1956, § 5-22-11 .

5-22-12. License fees — Revocation of license.

Town or city councils, bureaus of licenses, or boards of police commissioners shall demand and receive of every person to whom a license is granted under this chapter a sum not exceeding one hundred dollars ($100) for any single performance, show, exhibition, concert, entertainment, moving picture exhibition, dance, or ball, that they deem proper; provided, that performances and entertainments given by religious and charitable societies and volunteer firefighting companies duly organized and incorporated for the purpose of furthering their religious, benevolent, or firefighting work are excepted from the provisions of this chapter as to fees. Any license granted under the authority of §§ 5-22-5 5-22-12 may be revoked at the pleasure of that city or town council, bureau of licenses, or board of police commissioners.

History of Section. G.L. 1896, ch. 103, § 2; G.L. 1909, ch. 124, § 2; P.L. 1915, ch. 1202, § 1; P.L. 1916, ch. 1401, § 1; P.L. 1920, ch. 1932, § 1; G.L. 1923, ch. 129, § 2; P.L. 1926, ch. 791, § 1; P.L. 1928, ch. 1154, § 1; P.L. 1928, ch. 1160, § 1; P.L. 1930, ch. 1528, § 1; P.L. 1932, ch. 1876, § 1; G.L. 1938, ch. 362, § 2; P.L. 1943, ch. 1286, § 1; P.L. 1946, ch. 1691, § 1; P.L. 1946, ch. 1692, § 1; P.L. 1948, ch. 1999, § 1; P.L. 1948, ch. 2125, § 1; impl. am. P.L. 1951, ch. 2721, § 4; P.L. 1954, ch. 3283, § 1; G.L. 1956, § 5-22-12 .

Cross References.

Powers of fire companies, § 23-37-1 et seq.

NOTES TO DECISIONS

Constitutionality.

With regard to the licensing of motion pictures, that provision of this section which purports to authorize the revocation of licenses at pleasure is unconstitutional, and a license once issued may not be revoked, suspended, or renewal thereof denied, absent an abusive use of said license, such as the substitution of an altered version of a picture for that which was approved, and the altered version, tested by constitutional standards, raises an obscenity controversy. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Nature of Fees.

The sum that the municipal authorities are entitled to demand and receive as license fees is a tax in the nature of an excise on the particular enterprises named in the statute, and the licensing provisions are intended for both revenue and regulation. Bijou Amusement Co. v. Toupin, 63 R.I. 503 , 9 A.2d 852, 1939 R.I. LEXIS 118 (1939).

The general assembly contemplated the fixing of proper fees by a local licensing agency ranging from nominal to the substantial limit of $100, leaving it for said local agency to fix a fee commensurate with the expense of policing a given exhibition; thus, as to the provisions of this section relating to licensing fees, it is not patently defective. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Where the total revenue from the licensing of motion picture films in 1967 was $9,724 while the cost of operation of the bureau of licenses allocable to the licensing of motion pictures was approximately 1/4 of $48,150.33, it is readily apparent that the fees charged for licensing of motion pictures are nominal, amount to something less than the revenue required to enforce the licensing procedures, and are a permissible regulatory measure. Shipyard Drive-In-Theatre v. Scuncio, 107 R.I. 554 , 268 A.2d 820, 1970 R.I. LEXIS 807 (1970), cert. denied, 401 U.S. 1005, 91 S. Ct. 1252, 28 L. Ed. 2d 541, 1971 U.S. LEXIS 2476 (1971).

Power of Local Authorities.

Town council did not have authority under this section to issue a license for a period of one year and a petitioner who paid $50.00 and who had given one performance could not enjoin subsequent town council from interfering with performances. Standard Athletic Club v. Cushing, 30 R.I. 208 , 74 A. 719, 1909 R.I. LEXIS 22 (1909).

Board of police commissioners could, as an administrative action if not done arbitrarily or capriciously, raise license fees on theaters to an amount not exceeding $100 for any single performance for either purposes of regulation or revenue or both. Bijou Amusement Co. v. Toupin, 63 R.I. 503 , 9 A.2d 852, 1939 R.I. LEXIS 118 (1939).

Single Performance.

It was the intent of the legislature to prescribe a definite licensing for each entertainment or performance. Standard Athletic Club v. Cushing, 30 R.I. 208 , 74 A. 719, 1909 R.I. LEXIS 22 (1909).

5-22-13. Building inspection as prerequisite to license.

A license shall not be issued under the provisions of §§ 5-22-4 5-22-12 until the building to be used for the show for which that license is desired, together with the apparatus if a motion picture show is to be licensed, has been inspected by the inspector of buildings appointed as provided in title 23 and the inspector has filed with the licensing authorities a certificate, in writing, showing that the building or apparatus meets, in all respects, the requirements of title 23, and is otherwise safe to use for the purpose for which the license is desired and until the building has also been inspected by the chief of the respective fire department or his or her assistants who shall also file with the licensing authorities a certificate, in writing, showing that the building or apparatus meets, in all respects, the requirements of the general and public laws of this state for the protection of life and property against the menace of fire. If the building or apparatus does not meet those requirements or is otherwise unsafe, then the license shall not be issued, and if any license is issued, that license is void. Any person managing or promoting a show under any void license shall upon conviction suffer the penalty provided in § 5-22-18 .

History of Section. G.L. 1923, ch. 129, § 3; P.L. 1927, ch. 1042, § 1; G.L. 1938, ch. 362, § 3; P.L. 1949, ch. 2306, § 1; G.L. 1956, § 5-22-13 ; P.L. 1999, ch. 354, § 6.

5-22-14. Monthly inspection of buildings.

Whenever a license is granted for a period of more than thirty (30) days, the licensing authorities shall cause that building or apparatus for which the license is issued to be inspected and reported upon at least once each month during the period covered by the license.

History of Section. G.L. 1923, ch. 129, § 3; P.L. 1927, ch. 1042, § 1; G.L. 1938, ch. 362, § 3; G.L. 1956, § 5-22-14 .

5-22-15. Inspection fees.

Town or city councils may fix by ordinance the amount of fee to be paid by the licensee to the inspector for inspections made and that fee shall be paid to the city or town treasurer for the use of the city or town.

History of Section. G.L. 1923, ch. 129, § 3; P.L. 1927, ch. 1042, § 1; G.L. 1938, ch. 362, § 3; G.L. 1956, § 5-22-15 .

5-22-16. Appointment of officers to preserve order at shows.

Town or city councils may also appoint town constables or other proper officials, at the expense of the licensee, to preserve order and to execute the orders of the city or town council at any such show and to report to the chief of police or the city or town sergeant any violation of the law and especially any violation of § 5-22-23 that occurs during the show.

History of Section. G.L. 1896, ch. 103, § 3; G.L. 1909, ch. 124, § 3; G.L. 1923, ch. 129, § 3; P.L. 1927, ch. 1042, § 1; G.L. 1932, ch. 362, § 3; G.L. 1956, § 5-22-16 ; P.L. 2015, ch. 260, § 5; P.L. 2015, ch. 275, § 5.

Cross References.

Constables generally, § 45-16-4.1 et seq.

Disturbance of assemblies, penalty, § 11-11-1 .

5-22-17. “Building” and “show” defined.

  1. The word “building,” when used in §§ 5-22-13 5-22-16 , means and includes any theater, hall, building, or rink in which a show is to be given for which a license is required under §§ 5-22-4 5-22-12 .
  2. The word “show,” when used in §§ 5-22-13 5-22-17 , means and includes any theatrical performance, show, exhibition, public roller skating in rinks or halls, dances and balls, wrestling, boxing or sparring matches, or exhibition, or any other entertainment, for which a license is required under §§ 5-22-4 5-22-12 .

History of Section. G.L. 1923, ch. 129, § 3; P.L. 1927, ch. 1042, § 1; G.L. 1938, ch. 362, § 3; G.L. 1956, § 5-22-17 .

Cross References.

Inspection of buildings generally, § 23-28.5-1 et seq.

5-22-18. Penalty for violations.

Any person who violates any of the provisions of §§ 5-22-4 5-22-17 and any person who knowingly permits that violation in any building, described in § 5-22-17 , belonging to him or her or under his or her control, shall be fined not exceeding five hundred dollars ($500), or be imprisoned not exceeding one year, or shall be punished by both the fine and imprisonment.

History of Section. G.L. 1896, ch. 103, § 4; G.L. 1909, ch. 124, § 4; G.L. 1923, ch. 129, § 4; P.L. 1927, ch. 1042, § 1; G.L. 1938, ch. 362, § 4; G.L. 1956, § 5-22-18 .

Cross References.

Gambling place, revocation of license, § 11-19-19 .

5-22-19. Disposition of license fees.

All sums received for licenses as provided in this chapter shall be paid to the town or city treasurer for the use of the town or city in which the licenses are granted.

History of Section. G.L. 1896, ch. 103, § 5; G.L. 1909, ch. 124, § 5; G.L. 1923, ch. 129, § 5; G.L. 1938, ch. 362, § 6; G.L. 1956, § 5-22-19 ; R.P.L. 1957, ch. 80, § 1.

5-22-20. Penalty for shows where unlicensed liquors sold.

Whoever offers to view, sets up, sets on foot, maintains, or carries on a theatrical exhibition, public show, concert or dance-hall exhibition of any description, at which lager beer or other intoxicating liquors are sold, or exposed for sale with his or her consent, except as provided in title 3, shall be fined not exceeding five hundred dollars ($500) or be imprisoned not exceeding six (6) months.

History of Section. G.L. 1896, ch. 103, § 6; G.L. 1909, ch. 124, § 6; G.L. 1923, ch. 129, § 6; G.L. 1938, ch. 362, § 6; G.L. 1956, § 5-22-20 .

NOTES TO DECISIONS

Penal Provision.

This section is penal rather than regulatory in form, if not in substance. Chernov Enters. v. Scuncio, 107 R.I. 439 , 268 A.2d 424, 1970 R.I. LEXIS 792 (1970).

5-22-21. Penalty for unlicensed masked balls with paid admission.

Whoever gets up, sets on foot, causes to be published, or otherwise aids in getting up and promoting any masked ball or other public assembly at which the company wear masks or other disguises, and to which admission is obtained upon payment of money or the delivery of any valuable thing or by a ticket or voucher obtained for money or any valuable thing, without first obtaining from the city or town council of the city or town where that exhibition or other public assembly is to be had a license for it, shall for the first offense be fined not exceeding five hundred dollars ($500), and for any subsequent offense be imprisoned not exceeding one year.

History of Section. G.L. 1896, ch. 103, § 7; G.L. 1909, ch. 124, § 7; G.L. 1923, ch. 129, § 7; G.L. 1938, ch. 362, § 7; G.L. 1956, § 5-22-21 .

5-22-22. Obstruction of members of the division of sheriffs.

Any person who hinders or obstructs any deputy sheriff in entering any exhibition, performance, or place mentioned in this chapter is, upon conviction, guilty of obstructing an officer and liable to the penalty imposed in § 11-32-1 .

History of Section. G.L. 1986, ch. 103, § 9; P.L. 1905, ch. 1249, § 1; G.L. 1909, ch. 124, § 14; G.L. 1923, ch. 129, § 14; G.L. 1938, ch. 362, § 14; G.L. 1956, § 5-22-22 ; P.L. 2012, ch. 324, § 14.

Cross References.

Sheriffs generally, § 42-29-1 et seq.

5-22-23. Admission of unescorted minors under age fifteen.

No person who is the proprietor, manager, or doorkeeper of any theater, roller skating rink, public dance hall, vaudeville, or other show, shall permit any boy or girl under the age of fifteen (15) years to enter or remain in that place of amusement owned or controlled by him or her or in which he or she is employed unless that boy or girl is accompanied by and under the charge of a person of eighteen (18) years of age or over, not furnished or provided by that proprietor, manager or doorkeeper; provided, that during all the hours from 9:00 A.M. until 7:00 P.M., except during the hours when the public schools in the city or town where that place of amusement is located are in session, any boy or girl not less than ten (10) years of age and under fifteen (15) years of age may be admitted to, and permitted to remain not later than 7:00 P.M. in any theater exhibiting vaudeville or motion pictures without that accompanying person. Any person violating the provisions of this section shall be fined not less than five dollars ($5.00) nor more than twenty dollars ($20.00) for each offense.

History of Section. P.L. 1907, ch. 1467, §§ 1, 2; G.L. 1909, ch. 124, §§ 15, 16; G.L. 1923, ch. 129, §§ 15, 16; P.L. 1928, ch. 1180, § 1; G.L. 1938, ch. 362, §§ 15, 16; G.L. 1956, § 5-22-23 .

5-22-24. Continuation of powers of boards and bureaus of police commissioners.

Whenever by law the powers, conferred pursuant to this chapter upon city or town councils, have been conferred upon boards or bureaus of police commissioners in any city or town, those powers shall continue to be exercised by those boards or bureaus of police commissioners.

History of Section. G.L. 1909, ch. 124, § 17; G.L. 1923, ch. 129, § 17; G.L. 1938, ch. 362, § 17; G.L. 1956, § 5-22-24 .

5-22-25. Bullfights prohibited.

It shall be unlawful for any person to promote, advertise, stage, hold, manage, conduct, participate in, engage in, or carry on any bullfight exhibition, any bloodless bullfight, contest or exhibition, or any mock bullfight or similar contest or exhibition, whether for amusement or gain or otherwise. Any person violating the provisions of this section shall, upon conviction, be imprisoned not exceeding one year or fined not exceeding five hundred dollars ($500), or shall be punished by both the fine and imprisonment.

History of Section. P.L. 1966, ch. 155, § 1.

5-22-26. Ticket speculators.

No person shall sell, offer for sale, or attempt to sell any ticket, privilege, or license of admission to an entertainment event, including, but not limited to, any place of public amusement, arena, stadium, theatre, performance, sport, exhibition, or athletic contest in this state at a price greater than the price, including tax, printed on the ticket, and a reasonable service charge for services actually rendered not to exceed three dollars ($3.00) or ten percent (10%) of the price printed on the ticket, whichever is greater. The owner or operator of the property on which an entertainment event is to be held or is being held may authorize, in writing, any person to sell a ticket, privilege, or license of admission at a price in excess of that authorized under this section. That writing shall specify the price for which the ticket, privilege, or license of admission is to be sold. Any person violating any provision of this section is guilty of a misdemeanor and shall be fined not more than one thousand dollars ($1,000) for each offense.

History of Section. P.L. 1984, ch. 394, § 1; P.L. 1986, ch. 205, § 1; P.L. 1988, ch. 599, § 1.

Chapter 23 Holiday Business

5-23-1. Definitions.

  1. “Holiday,” whenever used in this chapter includes: New Year’s Day, Memorial Day, Fourth of July, Victory Day, Labor Day, Columbus Day, Veteran’s Day, Thanksgiving Day (but only in those years that the governor by public proclamation designates it as a legal holiday), and Christmas, or on any day that any enumerated holiday is officially celebrated.
  2. “Retail establishment,” whenever used in this chapter, includes any business making sales at retail in this state, but this definition does not include victualing houses principally serving prepared food for consumption on and off the premises, including those houses licensed under chapter 24 of this title.
  3. “Town council,” whenever used in this chapter, includes “city council” except in the city of Providence where it means “bureau of licenses” and any duly constituted licensing authority existing in any other city or town.

History of Section. P.L. 1930, ch. 1566, § 1; P.L. 1932, ch. 1875, § 1; G.L. 1938, ch. 403, § 1; P.L. 1944, ch. 1451, § 1; impl. am. P.L. 1951, ch. 2721, § 4; G.L. 1956, § 5-23-1 ; P.L. 1976, ch. 169, § 1; P.L. 1982, ch. 16, § 1.

Comparative Legislation.

Sundays and holidays:

Mass. Ann. Laws ch. 136, § 1 et seq.

5-23-2. Licenses for holiday business.

  1. A retail establishment may be open on any day of the year except as specifically prohibited herein. A retail establishment shall not be open on a holiday unless licensed by the appropriate town council pursuant to this section. The city or town council of any city or town shall grant holiday licenses for the sale by retail establishments. No license shall be issued on December 25 of any year or on Thanksgiving Day, except to:
    1. Pharmacies licensed under chapter 19.1 of this title; provided, however, that no drug (as defined in § 5-19.1-2 ) or controlled substance (as defined in § 5-19.1-2 ) requiring a prescription (as defined in § 5-19.1-2) shall be dispensed or sold unless a licensed pharmacist-in-charge (as defined in § 5-19.1-2) is available on the premises;
    2. Retail establishments that principally sell food products as defined in § 44-18-30(9) and that employ fewer than six (6) employees per shift at any one location;
    3. Retail establishments principally engaged in the sale of cut flowers, floral products, plants, shrubs, trees, fertilizers, seeds, bulbs, and garden accessories;
    4. Retail establishments principally engaged in the sale and/or rental of video cassette tapes; and
    5. Retail establishments principally engaged in the preparation or sale of bakery products.
  2. Retail establishments licensed pursuant to this section may be permitted to open for business during holidays on their normal business working hours.
  3. Retail establishments licensed pursuant to this section shall be exempt from the provisions of chapter 1 of title 25, entitled “Holidays and Days of Special Observance,” and those establishments may sell any and all items sold in the ordinary course of business with the exception of alcoholic beverages.
  4. All employees engaged in work during Sundays or holidays pursuant to the provisions of this section shall receive from their employer no less than time and a half for the work so performed and shall be guaranteed at least a minimum of four (4) hours employment; except those employees referred to in § 28-12-4.3(a)(4) , provided that the work performed by the employee is strictly voluntary and refusal to work for any retail establishment on a Sunday or holiday is not a ground for discrimination, dismissal, or discharge or any other penalty upon the employee. The city or town council may fix and cause to be paid into the city or town treasury for each license issued pursuant to this section a fee not to exceed the sum of one hundred dollars ($100) and may fix the time or times when the license granted terminates; provided, that the city or town council shall not charge a licensing fee to any charitable, benevolent, educational, philanthropic, humane, patriotic, social service, civic, fraternal, police, fire, labor, or religious organization that is not operated for profit.
  5. Retail establishments engaged principally in the preparation or sale of bakery products and pharmacies shall be licensed prior to the sale of those products in accordance with this section; provided, that the time and one half and voluntary work provisions do not apply.
  6. Each city or town council shall fix, limit, and specify those rules, regulations, and conditions relating to the granting, holding, and exercising those licenses as it deems necessary or advisable and as are not inconsistent with law, and may suspend or revoke any license granted by it for more than two (2) violations of those rules, regulations, and conditions during a calendar year.
  7. Each city or town shall grant Class A licenses authorizing retail establishments that sell alcoholic beverages for consumption off of the premises within its jurisdiction to sell on Sundays, alcoholic beverages in accordance with the terms of this chapter and that of title 3; provided that it shall not permit such sale prior to the hour of twelve noon (12:00 p.m.) or on Christmas day, if Christmas shall occur on a Sunday; provided, further, that no employee shall be required to work and refusal to work on a Sunday shall not be the grounds for discrimination, dismissal, discharge, deduction of hours, or any other penalty.

History of Section. P.L. 1930, ch. 1566, § 1; P.L. 1930, ch. 1566, § 2; P.L. 1932, ch. 1875, § 1; P.L. 1936, ch. 2284, § 1; G.L. 1938, ch. 403, § 2; P.L. 1950, ch. 2555, § 1; P.L. 1952, ch. 3027, § 1; G.L. 1956, § 5-23-2 ; P.L. 1961, ch. 186, § 1; P.L. 1962, ch. 10, § 1; P.L. 1962, ch. 97, § 1; P.L. 1963, ch. 128, § 1; P.L. 1967, ch. 10, § 1; P.L. 1976, ch. 169, § 1; P.L. 1982, ch. 16, §§ 2, 3; P.L. 1983, ch. 310, § 1; P.L. 1985, ch. 513, § 1; P.L. 1986, ch. 273, § 1; P.L. 1987, ch. 451, § 1; P.L. 1989, ch. 114, § 1; P.L. 1992, ch. 197, § 1; P.L. 1993, ch. 18, § 1; P.L. 1993, ch. 160, § 1; P.L. 1994, ch. 268, § 1; P.L. 1994, ch. 271, § 1; P.L. 1996, ch. 367, § 1; P.L. 1996, ch. 404, § 4; P.L. 1996, ch. 423, § 1; P.L. 1997, ch. 231, § 1; P.L. 1997, ch. 240, § 1; P.L. 1997, ch. 262, § 1; P.L. 1997, ch. 292, § 1; P.L. 1997, ch. 298, § 1; P.L. 2000, ch. 481, § 1; P.L. 2004, ch. 89, § 1; P.L. 2004, ch. 195, § 2; P.L. 2004, ch. 197, § 2; P.L. 2004, ch. 229, § 1; P.L. 2004, ch. 528, § 1; P.L. 2005, ch. 128, § 2; P.L. 2005, ch. 132, § 2; P.L. 2005, ch. 410, § 2.

Cross References.

Alcoholic beverages, sale on Sunday, § 3-8-1 .

Athletic games on Sunday, § 41-6-1 et seq.

Bowling alleys and billiard tables, operation on Sunday, § 5-2-9 .

Children, exploitation for commercial purposes, § 11-9-1 .

Laundries, operation on Sunday, § 5-16-5 .

Motor vehicle sales on Sunday, § 31-5-19 .

Pawnbroker’s business prohibited on Sunday, § 19-26-16 .

Shows and exhibitions on Sunday, § 5-22-6 et seq.

NOTES TO DECISIONS

Constitutionality.

In ruling on a petition for preliminary injunction, the federal district court rejected the equal protection claim that the exemption granted to small retail stores constituted invidious discrimination against plaintiff, a large retailer, since the legislature had the reasonable aim to minimize both the number of employees working on Sunday and the amount of commercial activity on Sunday. Woonsocket Prescription Center, Inc. v. Michaelson, 417 F. Supp. 1250, 1976 U.S. Dist. LEXIS 13927 (D.R.I. 1976).

Special provisions of this section for the sale of bakery and garden items have a rational basis since the legislature could find that bread is a product requiring fresh sale daily, and that the sale of greenery on Sunday does not increase the commercialism sought to be avoided. Woonsocket Prescription Center, Inc. v. Michaelson, 417 F. Supp. 1250, 1976 U.S. Dist. LEXIS 13927 (D.R.I. 1976).

This section did not deprive large-retailers of equal protection of the law by providing limited exemptions to the Sunday closing law. City of Warwick v. Almac's, Inc., 442 A.2d 1265, 1982 R.I. LEXIS 817 (R.I. 1982).

Adult Videos.

This section does not preempt the right of the city to restrict by ordinance the sale of adult videos on Sundays or holidays. Faraone v. City of E. Providence, 935 F. Supp. 82, 1996 U.S. Dist. LEXIS 11416 (D.R.I. 1996).

Construction With § 28-12-4.1.

Section 28-12-4.1 and § 5-23-2 are not statutes in pari materia. Narragansett Food Servs. v. Rhode Island Dep't of Labor, 420 A.2d 805, 1980 R.I. LEXIS 1815 (R.I. 1980).

Although both § 28-12-4.1 and this section contained employee premium-compensation provisions, they did not relate to the same subject matter. Narragansett Food Servs. v. Rhode Island Dep't of Labor, 420 A.2d 805, 1980 R.I. LEXIS 1815 (R.I. 1980).

The primary legislative concern of this section is to regulate the operation of retail establishments on Sundays and holidays. Narragansett Food Servs. v. Rhode Island Dep't of Labor, 420 A.2d 805, 1980 R.I. LEXIS 1815 (R.I. 1980).

The legislature, recognizing that certain employees would receive overtime compensation under § 28-12-4.1 in addition to premium compensation under this section for the same hours of Sunday and holiday employment, intended to ensure in § 28-12-4.1 that employees receive a certain minimum wage for overtime and in this section that an additional cost be imposed on employers conducting business on Sundays and holidays in the form of a reward for employees who sacrifice their Sundays and holidays to work. Narragansett Food Servs. v. Rhode Island Dep't of Labor, 420 A.2d 805, 1980 R.I. LEXIS 1815 (R.I. 1980).

The phrase, “for work so performed,” denotes legislative intent to mandate premium compensation expressly for Sunday and holiday employment. Read in light of that intent, the phrase “no less than” does not indicate legislative intent to permit employers to credit payments for overtime under § 28-12-4.1 toward the premium mandated by this section. Narragansett Food Servs. v. Rhode Island Dep't of Labor, 420 A.2d 805, 1980 R.I. LEXIS 1815 (R.I. 1980).

In light of the specific exclusion incorporated by reference to § 28-12-4.3(a)(4) , if the legislature had intended to allow employers to credit overtime pay toward the premium mandated by this section, thereby in effect excluding employees who receive such pay from this section, it would have done so expressly. Narragansett Food Servs. v. Rhode Island Dep't of Labor, 420 A.2d 805, 1980 R.I. LEXIS 1815 (R.I. 1980).

Construction With § 5-23-4.

Sections 5-23-2 and 5-23-4 must be read in pari materia with each other; § 5-23-2 establishes the parameters for the authority to grant Sunday and holiday sales licenses, and § 5-23-4 grants discretionary authority to “fix, limit, and specify” the hours of operation of the licensees and also to regulate the exercising of the license. Faraone v. City of E. Providence, 935 F. Supp. 82, 1996 U.S. Dist. LEXIS 11416 (D.R.I. 1996).

Overtime Pay.

The premium pay requirement is incidental to regulation of Sunday and holiday business as it is intended to serve both as an additional deterrent to conducting business on Sundays and holidays and as a reward for employees who sacrifice their free time for such employment. Narragansett Food Servs. v. Rhode Island Dep't of Labor, 420 A.2d 805, 1980 R.I. LEXIS 1815 (R.I. 1980).

The phrase “for the work so performed” means for the work performed during Sundays or holidays. Narragansett Food Servs. v. Rhode Island Dep't of Labor, 420 A.2d 805, 1980 R.I. LEXIS 1815 (R.I. 1980).

Collateral References.

Blue Laws: validity, construction, and effect of “Sunday closing” or “blue” laws — modern status. 10 A.L.R.4th 246.

Construction of statute or ordinance prohibiting or regulating sports and games on Sunday. 24 A.L.R.2d 813.

Intoxicating liquors: religious holidays, validity, under federal and state establishment of religion provisions, of prohibition of sale of intoxicating liquors on specific religious holidays. 27 A.L.R.4th 1155.

Vagueness or uncertainty in matters covered or excepted by Sunday laws. 10 A.L.R.4th 246.

Validity of municipal regulation more restrictive than state regulation as to time for selling or serving intoxicating liquor. 51 A.L.R.3d 1061.

5-23-3. Works of necessity for which license not required.

A license is not required for the sale upon a holiday of gasoline, oil, grease, automotive parts, automotive servicing, or automotive accessories, or for the conducting on that day by any farmers’ cooperative association of a wholesale auction market of fruit, vegetables, and farm products, all of which are declared to be works of necessity.

History of Section. P.L. 1930, ch. 1566, § 2; P.L. 1932, ch. 1875, § 1; P.L. 1936, ch. 2284, § 1; G.L. 1938, ch. 403, § 2; P.L. 1950, ch. 2555, § 1; P.L. 1952, ch. 3027, § 1; G.L. 1956, § 5-23-3 ; P.L. 1962, ch. 10, § 2; P.L. 1962, ch. 97, § 2; P.L. 1982, ch. 16, § 4; P.L. 2005, ch. 128, § 2; P.L. 2005, ch. 132, § 2.

5-23-4. Terms and conditions of license — Revocation.

Any city or town council in each case of granting the license shall fix, limit, and specify in the license the hours of the day during which the licensee or licensees may operate and may make those rules, regulations, and conditions relative to the granting, holding, and exercising those licenses that it deems necessary or advisable and that are not inconsistent with law, and may at any time at its pleasure suspend or revoke the license that it granted. The license shall be displayed in a conspicuous place on the premises licensed.

History of Section. P.L. 1930, ch. 1566, § 2; P.L. 1930, ch. 1566, § 3; P.L. 1932, ch. 1875, § 1; G.L. 1938, ch. 403, § 3; G.L. 1956, § 5-23-4 ; P.L. 1976, ch. 169, § 1.

NOTES TO DECISIONS

Construction With § 5-23-4.

Sections 5-23-2 and 5-23-4 must be read in pari materia with each other; § 5-23-2 establishes the parameters for the authority to grant Sunday and holiday sales licenses, and § 5-23-4 grants discretionary authority to “fix, limit, and specify” the hours of operation of the licensees and also to regulate the exercising of the license. Faraone v. City of E. Providence, 935 F. Supp. 82, 1996 U.S. Dist. LEXIS 11416 (D.R.I. 1996).

5-23-5. Place of operation — Delivery carts.

The license shall not authorize any sale, rental, or operation at any place not specified in the license. The license is deemed to include permission to deliver by means of or sell from any cart or other vehicle, ice, milk, or newspapers; provided the number of carts or vehicles to be used for that purpose shall be specified in the license and there shall be displayed on each cart or vehicle while in that use any evidence that the city or town council prescribes that it is being used pursuant to that license.

History of Section. P.L. 1930, ch. 1566, § 3; P.L. 1930, ch. 1566, § 4; P.L. 1932, ch. 1875, § 1; G.L. 1938, ch. 403, § 4; G.L. 1956, § 5-23-5 ; P.L. 1976, ch. 169, § 1.

5-23-6. Enforcement — Penalties.

  1. Upon complaint filed with the director of labor and training by any employee or any consumer, or if a minor, by his or her parent or guardian, or by the lawful collective bargaining representative of an employee, that a licensee under this chapter has violated the terms of § 5-23-2 , the director shall cause the complaint to be investigated, and if satisfied that a probable violation has occurred, shall issue a complaint against the licensee with a notice for a hearing. The hearing shall be held before a hearing officer of the department of labor and training. If the director concludes on the basis of the hearing record that a violation has occurred, he or she shall issue a cease and desist order to the licensee, or he or she shall refer the complaint to the attorney general for appropriate action as provided in subsection (c) of this section. The director shall issue regulations in conformity with law and preserving the rights of due process of all parties to implement the provisions of this subsection.
  2. Every licensed or unlicensed person, firm, or corporation, including its officers and officials, who or that violates any of the provisions of his, her, or its license or the provisions of this chapter, except as set forth in subsection (a) of this section, shall be fined not exceeding five hundred dollars ($500) for the first offense and not exceeding one thousand dollars ($1,000) for each additional offense.
  3. Except as otherwise provided in subsections (a) and (b) of this section, suit for violation of the provisions of this chapter, praying for criminal or civil injunctive or other relief, may be instituted in the superior court by any city or town or by the attorney general.
  4. The penalty for opening and operating a business on December 25th of any year or on Thanksgiving Day, unless excepted, is, in addition to subsection (b) of this section, a fine not exceeding thirty percent (30%) of the sales or proceeds for that day.

History of Section. P.L. 1976, ch. 169, § 2; P.L. 1982, ch. 16, § 5; P.L. 1990, ch. 489, § 1; P.L. 1992, ch. 197, § 1.

NOTES TO DECISIONS

Constitutionality.

In ruling on a petition for a preliminary injunction, the federal district court rejected the due process claim that subsection (b) is void for vagueness, since although chapter 23 of this title relates only to the granting of licenses and does not of its own terms prohibit Sunday operations, the reference in this enforcement provision to “unlicensed” persons can reasonably be construed to refer to retail establishments which open on Sundays despite noncompliance with the provisions of § 5-23-2 . Woonsocket Prescription Center, Inc. v. Michaelson, 417 F. Supp. 1250, 1976 U.S. Dist. LEXIS 13927 (D.R.I. 1976).

Injunctions.

The state may institute suits for injunctive relief under subsection (c) even when action under subsection (b) of this section is available. City of Warwick v. Almac's, Inc., 442 A.2d 1265, 1982 R.I. LEXIS 817 (R.I. 1982).

Chapter 24 Taverns, Cookshops, and Oyster Houses

5-24-1. Licensing and regulatory power of towns and cities.

  1. Any town or city council has the power to regulate, including the setting of hours of operation, the keeping of taverns, victualing houses, cookshops, oyster houses, and oyster cellars in the town or city, by granting licenses for those activities, upon any compensation for the benefit of the town or city that they see fit to impose, or by refusing to grant the licenses. Except as provided in subsection (b) of this section, all licenses issued pursuant to this section entitle the license holder to operate continuously after six o’clock (6:00) A.M. but not after two o’clock (2:00) A.M.
  2. Upon application by any holder of a license issued pursuant to this section to the city or town council issuing that license and upon a showing of public convenience and necessity after a public hearing before that city or town council after having given notice by publication once a week for three (3) consecutive weeks in a daily or weekly newspaper published and circulated in the county in which the city or town issuing the license is located, the council may grant the application for additional operational hours between two o’clock (2:00) A.M. and six o’clock (6:00) A.M.
  3. For the purposes of this chapter a “victualing house” is a business where food is prepared and/or consumed on the premises.

History of Section. G.L. 1896, ch. 101, § 1; G.L. 1909, ch. 122, § 1; G.L. 1923, ch. 126, § 1; G.L. 1938, ch. 361, § 1; G.L. 1956, § 5-24-1 ; P.L. 1969, ch. 249, § 1; P.L. 1975, ch. 212, § 1; P.L. 1987, ch. 149, § 1; P.L. 1987, ch. 160, § 1; P.L. 1987, ch. 207, § 1.

Cross References.

Alcoholic beverages license, § 3-7-7 .

Law Reviews.

2002 Survey of Rhode Island Law, see 8 Roger Williams U.L. Rev. 421 (2003).

Comparative Legislation.

Innholders and victualers:

Mass. Ann. Laws ch. 140, § 2 et seq.

NOTES TO DECISIONS

Duty of Applicants.

It is the duty of a person seeking to open a place of business of the type enumerated in this section to apply to the town councilmen or board of aldermen for a license. State v. Barrett, 20 R.I. 313 , 38 A. 949, 1897 R.I. LEXIS 118 (1897).

Powers of Local Authorities.

This section empowered but did not require the town council of a town or the board of aldermen of a city to adopt general regulations in accordance with its provisions. State v. Barrett, 20 R.I. 313 , 38 A. 949, 1897 R.I. LEXIS 118 (1897).

The authority of the city council to exercise the power to regulate such businesses as conferred upon it by this section is not so restricted that it is required to show the service of unhealthy or unsanitary food or drink where the existence of unhealthy and unsanitary conditions is shown. Santos v. City Council of E. Providence, 99 R.I. 439 , 208 A.2d 387, 1965 R.I. LEXIS 459 (1965).

— Smoking Regulation.

Delegation of the power to license eating establishments also empowered a local government, in the exercise of its police power to protect public health and welfare, to condition licensing of eating establishments on their banning of smoking or providing of segregated smoking areas from which children would be banned. Amico's Inc. v. Mattos, 789 A.2d 899, 2002 R.I. LEXIS 27 (R.I. 2002).

Victualing Houses.

A 7-Eleven store was a “victualing house” and subject to regulation of its operating hours under subsection (a). Southland Corp. v. Warwick, 486 A.2d 610, 1985 R.I. LEXIS 430 (R.I. 1985) (decided prior to 1987 amendments).

Board of public safety’s decision limiting petitioners’ victualing license to the hours 6 a.m. to midnight was modified to allow the petitioners to conduct victualing activities from 6 a.m. to 2 a.m. as per subsection (a). Southland Corp. v. Warwick, 486 A.2d 610, 1985 R.I. LEXIS 430 (R.I. 1985) (decided prior to 1987 amendments).

The purported transfer of a victualing-house license application should have been treated as an application for a new victualing-house license, separate and apart from the application submitted in conjunction for a liquor-license transfer. El Nido, Inc. v. Goldstein, 626 A.2d 239, 1993 R.I. LEXIS 173 (R.I. 1993).

A class-B retailer’s license and a victualing-house license confer two distinct privileges on a single licensee. A victualing-house may exist without a liquor license, but a drinking establishment that holds a class-B retailer’s license cannot operate without a victualing-house license. El Nido, Inc. v. Goldstein, 626 A.2d 239, 1993 R.I. LEXIS 173 (R.I. 1993).

Because a class-B retailer’s license and a victualing-house license are distinct, the city council may grant a victualing-house license, thereby allowing food to be prepared and consumed on the premises, while the same city council members, sitting as the board of license commissioners, may simultaneously deny the transfer or issuance of a class-B retailer’s license, thereby prohibiting alcoholic beverages from being served. El Nido, Inc. v. Goldstein, 626 A.2d 239, 1993 R.I. LEXIS 173 (R.I. 1993).

Collateral References.

Building permit illegally issued for, permittee’s rights under. 6 A.L.R.2d 967.

Civil rights statute, private rights and remedies to enforce rights based on. 171 A.L.R. 920.

Construction and effect of liquor regulation forbidding or restricting sales on credit or other than cash. 17 A.L.R.3d 396.

Fair Labor Standards Act, restaurants as “service establishment” within. 150 A.L.R. 713.

Incidental sale of beverages as subject to occupation, sales, or license tax. 13 A.L.R.2d 1365.

Inn or hotel, restaurant as. 19 A.L.R. 526; 53 A.L.R. 988.

Meaning of “cafe” or “restaurant.” 9 A.L.R. 428.

Revocation or suspension of liquor license because of drinking or drunkenness on part of licensee or his associates. 36 A.L.R.3d 1301.

Saloons or taverns as nuisance. 5 A.L.R.3d 989.

Seat, customer injured by defect in or fall of. 21 A.L.R.2d 453.

Sunday laws, “restaurant” or “cafe” as within. 9 A.L.R. 428.

Use of premises, stipulation in lease as to, as excluding other uses. 148 A.L.R. 595.

Validity of municipal regulation more restrictive than state regulation as to time for selling or serving intoxicating liquor. 51 A.L.R.3d 1061.

Validity of statute or rule making specified conduct or condition the ground for cancelation or suspension of license irrespective of licensee’s personal fault. 3 A.L.R.2d 107.

What constitutes a restaurant. 122 A.L.R. 1399.

Zoning regulations, variance or special exception, provisions of. 168 A.L.R. 13.

5-24-1.1. Cumberland — Limited victualing license.

  1. The town council of the town of Cumberland shall, in addition to the licensing and regulatory powers enumerated in § 5-24-1 , have the power to issue limited victualing-house licenses for the purpose of permitting the operation of any agricultural or farm-related business to sell for consumption on the premises certain food items that complement the principal business, serve as a convenience to the public, and otherwise are in harmony with the rural atmosphere of the town.
  2. The town council has the power to limit the hours of operation of that establishment as well as the types of foods that may be prepared for consumption on the premises.
  3. No limited license shall be granted if the granting of the license is contrary to or inimical to the public health, safety, or welfare.
  4. Any license issued pursuant to this section is subject to the provisions of § 5-24-2 relating to the term and duration of licenses. The annual fee shall be the same as that established for a full victualing license as provided in § 5-24-1 .

History of Section. P.L. 1996, ch. 57, § 1; P.L. 1996, ch. 363, § 1.

5-24-2. Terms and duration of licenses.

Every license issued pursuant to §§ 5-24-1 and 5-24-1 .1 shall specify the person licensed; the business licensed; the hours during which the premises may be opened for business; and the building or room in which the business shall be pursued; and shall continue and be in force until the first of December, unless revoked sooner for cause.

History of Section. G.L. 1896, ch. 101, § 2; 1909, ch. 122, § 2; G.L. 1923, ch. 126, § 2; G.L. 1938, ch. 361, § 2; P.L. 1940, ch. 885, § 1; G.L. 1956, § 5-24-2 ; P.L. 1969, ch. 249, § 2; P.L. 1996, ch. 57, § 2.

Cross References.

Veteran’s certificate, renewal on discharge, § 30-20-1 .

Law Reviews.

2002 Survey of Rhode Island Law, see 8 Roger Williams U.L. Rev. 421 (2003).

NOTES TO DECISIONS

Cause for Revocation.

Cause within the meaning of this section may be established on a showing of any failure to comply with such ordinary standards of cleanliness and sanitation as are reasonably necessary to protect the public interest in its health and welfare. Santos v. City Council of E. Providence, 99 R.I. 439 , 208 A.2d 387, 1965 R.I. LEXIS 459 (1965).

The entire rationale for the revocation of a victualer’s license is the existence of a condition on the licensee’s premises that would affect the public health and a town council may not revoke a license merely for a violation of a building code or zoning ordinance that involves no threat to the public health. Primiano v. Town Council of Warren, 115 R.I. 447 , 347 A.2d 414, 1975 R.I. LEXIS 1168 (1975).

— Preexisting Conditions.

There is no merit in a contention that the city council is estopped from revoking a license because it had issued a renewal thereof while the conditions to which the health inspector testified existed as there is no disclosure of any representation by or conduct of the city council upon which petitioner could reasonably claim to have relied to his disadvantage. Santos v. City Council of E. Providence, 99 R.I. 439 , 208 A.2d 387, 1965 R.I. LEXIS 459 (1965).

Revocation.

Where a motion to revoke a license was duly made and seconded, the presiding officer thereupon asked for objections, and none was made and the record is devoid of anything tending to establish that the council was not polled, and petitioner failed to make some objection or protest to the revocation for failure of the city council to vote to revoke his license, there is no merit in petitioner’s argument on appeal that the city council did not vote to revoke his license. Santos v. City Council of E. Providence, 99 R.I. 439 , 208 A.2d 387, 1965 R.I. LEXIS 459 (1965).

5-24-3. Penalty for violations.

  1. Every person in any city or town who opens or keeps open any tavern, victualing house, cookshop, oyster house, or oyster cellar, without possessing a license obtained from the city or town council, or in any place other than that specified in that license, shall be fined fifty dollars ($50.00) for each offense, one-half (1/2) of that amount to the use of the city or town in which the offense has been committed and one-half (1/2) to the use of the state.
  2. In addition to the fines enumerated above, the city of Pawtucket may close any unlicensed tavern, victualing house, cookshop, oyster house, or oyster cellar until the unlicensed tavern, victualing house, cookshop, oyster house, or oyster cellar obtains a license from the Pawtucket city council or the Pawtucket city council sitting as the Pawtucket board of license commissioners.

History of Section. G.L. 1896, ch. 101, § 3; G.L. 1909, ch. 122, § 3; G.L. 1923, ch. 126, § 3; G.L. 1938, ch. 361, § 3; G.L. 1956, § 5-24-3 ; P.L. 2012, ch. 58, § 1; P.L. 2012, ch. 60, § 1.

NOTES TO DECISIONS

Sufficiency of Indictment.

Indictment charging that defendant “unlawfully did open and keep open a victualing house in the city of Pawtucket in the said state without a license then and there had first had and obtained from the board of aldermen of said city of Pawtucket” was sufficient without allegations that defendant kept the house open for business or that defendant was the keeper or proprietor of the house. State v. Kane, 15 R.I. 541 , 9 A. 848, 1887 R.I. LEXIS 34 (1887).

Indictment for operating an eating place without a license was not defective for failure to allege that the board of aldermen had made regulations relative to issuance of licenses, since it was the duty of defendant to apply for a license to the board of aldermen before operating an eating place. State v. Barrett, 20 R.I. 313 , 38 A. 949, 1897 R.I. LEXIS 118 (1897).

5-24-4. Maintenance of good order — Drunkards, wastrels, and minors excluded.

Every person licensed pursuant to §§ 5-24-1 and 5-24-1 .1 shall maintain good order in the licensed building, and shall not suffer any person in that licensed building to become intoxicated, nor shall he or she take in pawn or pledge any article; neither shall he or she suffer that licensed building to become frequented by any common drunkard or person addicted to the intemperate use of spirituous or intoxicating liquors, or by any person who is a disturber of the peace, or who is wasting his or her property or earnings and means of supporting himself or herself and family, or by any person under lawful age. Every person licensed pursuant to § 5-24-1 violating either of the provisions of this section shall be deemed the keeper of a disorderly house and shall be fined fifty dollars ($50.00), one-half (1/2) of that amount to the use of the city or town in which the offense has been committed and one-half (1/2) to the use of the state.

History of Section. G.L. 1896, ch. 101, §§ 5, 6; G.L. 1909, ch. 122, §§ 5, 6; G.L. 1923, ch. 126, §§ 5, 6; G.L. 1938, ch. 361, §§ 5, 6; G.L. 1956, § 5-24-4 ; P.L. 1996, ch. 57, § 2.

Cross References.

Discriminatory practices as to accommodations prohibited, § 11-24-1 et seq.

Collateral References.

Attracting people in numbers to obstruct access to neighboring premises as nuisance. 2 A.L.R.2d 437.

Civil liability for insulting or abusive language to patron. 15 A.L.R.2d 157.

Dancing in restaurant, as nuisance. 44 A.L.R.2d 1381.

Employee, assault by, on customer. 34 A.L.R.2d 372.

Guest, punitive damages for ejection or rejection of. 14 A.L.R.2d 715.

Saloons or taverns as nuisance. 5 A.L.R.3d 989.

5-24-5. Annulment of license.

In case any person licensed pursuant to §§ 5-24-1 and 5-24-1 .1 is convicted of keeping a disorderly house, the city or town council shall immediately withdraw and annul his or her license; and he or she shall not be licensed during the two (2) years next following his or her conviction.

History of Section. G.L. 1896, ch. 101, § 7; G.L. 1909, ch. 122, § 7; G.L. 1923, ch. 126, § 7; G.L. 1938, ch. 361, § 7; impl. am. P.L. 1950, ch. 2471, § 1; G.L. 1956, § 5-24-5 ; P.L. 1996, ch. 57, § 2.

Cross References.

Gambling place, revocation of license, § 11-19-19 .

Collateral References.

Cancellation or suspension of license irrespective of licensee’s personal fault. 3 A.L.R.2d 107.

Chapter 25 Veterinary Practice

5-25-1. Chapter title — Creation of board of veterinary medicine.

This chapter shall be known and cited as the “Veterinary Practice Act.” Within the division of professional regulation of the department of health, there shall be a board of veterinary medicine to assist the division in regulating the practice of veterinary medicine administered by the director of the department.

History of Section. P.L. 1985, ch. 531, § 2.

Repealed Sections.

The former chapter (P.L. 1939, ch. 718, §§ 3-8, 10; P.L. 1948, ch. 2121, § 1; P.L. 1960, ch. 76, § 10; P.L. 1969, ch. 212, § 1; P.L. 1976, ch. 158, § 1; P.L. 1985, ch. 181, art. 33, § 1), consisting of §§ 5-25-1 5-25-1 7 and concerning veterinarians, was repealed by P.L. 1985, ch. 531, § 1, effective July 1, 1985. Section 2 of P.L. 1985, ch. 531 enacted the present chapter concerning the same subject.

Cross References.

Effect of psittacine bird law, § 4-11-1 et seq.

Comparative Legislation.

Registration and licensing of veterinarians:

Conn. Gen. Stat. § 20-196 et seq.

Mass. Ann. Laws ch. 13, § 26 et seq.; ch. 112, § 54 et seq.

Collateral References.

Charges of veterinarian as element of damages for sale of diseased livestock. 14 A.L.R.4th 1096.

Failure to procure license as affecting recovery for services. 30 A.L.R. 900; 42 A.L.R. 1226; 118 A.L.R. 646.

Physicians’ and surgeons’ liens. 39 A.L.R.5th 787.

Validity, construction, and effect of statutes or regulations governing practice of veterinary medicine. 8 A.L.R.4th 223.

Veterinarian’s liability for malpractice. 71 A.L.R.4th 811.

5-25-2. Definitions.

As used in this chapter:

  1. “Animal” means any animal other than humans and includes, by way of illustration, not limitation, fowl, birds, fish, livestock, and reptiles, wild or domestic, living or dead.
  2. “Department” means the Rhode Island department of health.
  3. “Director” means the director of the Rhode Island department of health.
  4. “Division” means the division of professional regulation within the department of health established in chapter 26 of this title.
  5. “Veterinarian” means a person who practices veterinary medicine.
  6. “Veterinarian/client/patient relationship” means a relationship where all of the following conditions have been met:
    1. The veterinarian has assumed the responsibility for making medical judgments regarding the health of the animal or animals and the need for medical treatment, and the client has agreed to follow the instructions of the veterinarian;
    2. The veterinarian has sufficient knowledge of the animal or animals to initiate at least a general or preliminary (e.g. tentative) diagnosis of the medical condition of the animal or animals. This means that the veterinarian has recently seen and is personally acquainted with the keeping and care of the animal or animals, and/or by medically appropriate and timely visits to the premises where the animal or animals are kept;
    3. The veterinarian is readily available for follow-up in cases of adverse reactions or failure of the regimen of therapy; and
    4. The veterinarian maintains records that document patient visits, diagnosis, treatment, and other relevant information.
  7. “Veterinary dentistry” means that part of veterinary science that deals with the prevention and treatment of diseases, developmental conditions, and injuries of the teeth, gums, and oral cavity in animals.

History of Section. P.L. 1985, ch. 531, § 2; P.L. 1997, ch. 343, § 1.

5-25-3. Board — Composition — Appointment and terms of members.

The governor shall appoint a board of veterinary medicine. The board shall be composed of six (6) members whose terms of office shall extend for three (3) years and until a successor is appointed. Five (5) members of the board shall be veterinarians licensed in the state, one of whose practice shall include the treatment of equine or large animals, and one member shall be a public member. No member shall serve more than two (2) consecutive, three-year (3) terms. Former board members are eligible for reappointment no earlier than three (3) years following the expiration of their last term. The governor shall appoint one member for a term of one year; two (2) for a term of two (2) years; two (2) for a term of three (3) years; and one public member for a three-year (3) term. Initial appointments to the board shall take effect as of the date of appointment, however, the initial terms shall be calculated as though the date of appointment had been July 1, 1986. Appointments made subsequently shall be for three-year (3) terms. Terms shall begin on the first day of July of the year in which they are appointed and expire on the last day of June of the last year of their appointment. Any vacancy on the board caused other than by expiration of term shall be filled in accordance with the provisions of this section. The governor may remove any member of the board for cause.

History of Section. P.L. 1985, ch. 531, § 2; P.L. 1986, ch. 455, § 1.

5-25-3.1. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1986, ch. 455, § 1; P.L. 1995, ch. 370, art. 40, § 11.

5-25-4. Board — Qualifications of members.

Five (5) members of the board shall:

  1. Be residents of this state and licensed to practice within this state for at least five (5) years prior to appointment; and
  2. Be actively engaged in the practice of veterinary medicine for at least five (5) of the seven (7) years immediately preceding their appointment.

History of Section. P.L. 1985, ch. 531, § 2.

5-25-5. Disposition of fees collected.

All fees or funds collected under this chapter shall be paid into the state general treasury.

History of Section. P.L. 1985, ch. 531, § 2.

5-25-6. Board and department — Powers and duties.

  1. The board is authorized to recommend to the department and director of health for his or her approval, the adoption, and from time to time, the revision, of any rules and regulations not inconsistent with law that are necessary to enable the department to carry into effect the provisions of this chapter, including, but not limited to, regulations establishing continuing professional education requirements for veterinarians licensed under this chapter. The board shall recommend for licensure only duly qualified applicants. The board shall review applicants at least twice a year. It shall recommend the tests taken by applicants for licensure.
  2. The department shall adopt all policies to be followed in the examination, licensure, and renewal of license of duly qualified applicants and has full authority to accept or reject the recommendations of the board. The department is responsible for granting all licenses to practice veterinary medicine. The department shall conduct hearings upon charges calling for the discipline of licensees or revocation of licenses. The department has the power to issue subpoenas and compel the attendance of witnesses and administer oaths to persons giving testimony at hearings. The department shall cause the prosecution of all persons violating this chapter. The department shall keep a record of all its proceedings. The department may delegate to any other persons that are necessary to carry on the work of the department.

History of Section. P.L. 1985, ch. 531, § 2; P.L. 2004, ch. 170, § 1; P.L. 2004, ch. 241, § 1.

5-25-7. Practice of veterinary medicine defined.

  1. Any person shall be regarded as practicing veterinary medicine, surgery, and dentistry within the meaning of this chapter when he or she does any of the following, either directly or indirectly:
    1. Represents himself or herself as engaged in the practice of veterinary medicine, veterinary surgery, or veterinary dentistry in any of its branches.
    2. Diagnoses, prognoses, treats, administers, prescribes, operates on, manipulates, or applies any drug, biologic, or chemical or any apparatus or appliance for any disease, pain, deformity, defect, injury, wound, or physical condition of any animal for the prevention of or to test the presence of any disease.
    3. Cuts any tissue, muscle, organ, or structure of any animal for the purposes described in subsection (a)(2) or for the purpose of altering the natural condition of any animal or for any other purpose, cause, or reason.
  2. The term “practicing veterinary medicine” does not include:
    1. The calling into the state for consultation of duly licensed or registered veterinarians of any other state as to any case under treatment by a veterinarian registered under the provisions of this chapter.
    2. The experimentation or research of a registered physician, dentist, or osteopath.
    3. The experimentation and research activities conducted at any hospital, laboratory, or educational institution provided the activities have been approved and authorized by the division within the period of one year prior to the commencement of each separate project or activity or are conducted under the general supervision and control of a registered veterinarian, physician, dentist, or osteopath.
    4. The gratuitous giving of aid or relief to an animal in any accident or emergency; provided, the person giving the aid or relief does not represent himself or herself as a registered veterinarian.
    5. The nursing care to animals in the establishment or facilities of a registered veterinarian under his or her general supervision, direction, and control by the employees of the veterinarian or the activities of a person assisting a veterinarian during the course of any procedure or treatment.
    6. A person who is a regular student in a legally chartered college or school of veterinary medicine while in the performance of the duties and activities assigned by his or her instructors and provided there is a licensed veterinarian to supervise those acts.
    7. A person who is a member of the armed forces of the United States or who is an employee or official of the United States Department of Agriculture, Public Health Service, or other federal agency or of the state, who, while so commissioned or employed, performs official duties.
    8. A person authorized by the Rhode Island state or federal animal health official to conduct vaccinations or testing of animals for the purpose of disease control activity under the supervision of that authorizing official.
    9. A person who advises with respect to or performs acts that are livestock management and animal husbandry practices that have been accepted and performed as defined in the duly promulgated rules and regulations governing livestock welfare. Prescription drugs shall not be used except by or on the order of a licensed veterinarian, as provided by state and federal law.
  3. Upon the determination by the attending zoo veterinarian that there is no available licensed Rhode Island veterinarian with specialized skills to provide the necessary treatment, assistance can be sought from a licensed human medical practitioner to provide treatment to an animal that is part of the zoological collection. The licensed veterinarian shall maintain responsibility for the veterinarian-client-patient relationship.

History of Section. P.L. 1985, ch. 531, § 2; P.L. 1997, ch. 343, § 1; P.L. 2017, ch. 125, § 1; P.L. 2017, ch. 141, § 1.

5-25-7.1. Record of animals receiving veterinary services.

  1. A veterinarian subject to the provisions of this chapter shall keep a written record, or a computerized record able to produce a printed copy, of all animals receiving veterinary services, and provide a summary of that record to the owner of animals receiving veterinary services, when requested. The minimum amount of information to be included in written or computerized records and summaries shall be as established by rules and regulations. The minimum duration of time for which a licensed veterinarian or his or her designee shall retain the written record or computerized record shall be determined by rules and regulations.
  2. A radiograph is the property of the veterinary practice in which the veterinarian associated with that practice originally ordered it to be prepared, and it shall be released upon the written request of another veterinarian who has the authorization of the owner of the animal to whom it pertains and the radiograph shall be returned to the original veterinary practice within a reasonable time.
  3. When a patient/owner requests, in writing, that his or her animal’s or animals’ records and/or radiographs be transferred to another veterinarian, the original veterinarian shall promptly honor that request. The fee charged for the transfer shall not exceed the direct expense incurred to make copies for the veterinary records and/or radiographs.

History of Section. P.L. 1997, ch. 343, § 2.

5-25-8. Penalty for unauthorized practice of veterinary medicine.

Any person who is not lawfully authorized to practice veterinary medicine and is not registered or exempt from registration, as defined in this chapter, who practices or attempts to practice veterinary medicine or who holds himself or herself out to the public as a practitioner of veterinary medicine, surgery, or dentistry, whether by signs, words, advertisements, listings in directories, the use of the title “doctor” or any abbreviation of that word or any title including “V.S.,” or by the use of any other means implying a practitioner of veterinary medicine or any of its branches; fraudulently uses any posted degree, diploma, or certificate implying a practitioner of veterinary medicine or any of its branches; or who opens an office or maintains an establishment or facilities for the purpose of or with the intention of practicing veterinary medicine is guilty of a misdemeanor, and, upon conviction, shall be fined not exceeding one thousand dollars ($1,000), or be imprisoned not exceeding three (3) years and upon a subsequent conviction shall be fined not exceeding five thousand dollars ($5,000), nor be imprisoned not exceeding five (5) years, or be both fined and imprisoned.

History of Section. P.L. 1985, ch. 531, § 2.

Collateral References.

Recovery back of money paid to unlicensed person required by law to have occupation or business license or permit to make contract. 74 A.L.R.3d 637.

5-25-9. Prosecution of violations.

Complaints for the violation of the provisions of this chapter may be made by the director of the department of health, the administrator of the division of professional regulation, the executive director or authorized agent of the board of veterinary medicine, or any person including a member of the board to the police of the city or town in which the violation occurred for prosecution. If the complaint is made by a member of the board, division, or by any employee or official of the state designated in this chapter, that person is exempt from giving surety for costs in the complaint.

History of Section. P.L. 1985, ch. 531, § 2.

5-25-10. Qualifications for licensure.

Any applicant for licensure shall submit to the department written evidence on forms furnished by the department that the applicant meets all of the following requirements:

  1. Is a graduate of a school or college of veterinary medicine recognized and accredited by the American Veterinary Medical Association and by the department or certification by the Educational Council for Foreign Veterinary Graduates;
  2. Pays an application fee as set forth in § 23-1-54 at the time of submitting the application, which, in no case is returned to the applicant;
  3. Is of good moral character, evidenced in the manner prescribed by the department;
  4. Complies with any other qualifications that the department prescribes by regulation; and
  5. Complies with the continuing education requirements adopted by the department.

History of Section. P.L. 1985, ch. 531, § 2; P.L. 2001, ch. 77, art. 14, § 3; P.L. 2004, ch. 170, § 1; P.L. 2004, ch. 241, § 1; P.L. 2007, ch. 73, art. 39, § 2; P.L. 2012, ch. 241, art. 9, § 2; P.L. 2018, ch. 176, § 6; P.L. 2018, ch. 289, § 6.

NOTES TO DECISIONS

Constitutionality.

Former § 5-25-5 , in establishing the standard recognized by the American Veterinary Medical Association, was not unconstitutional as delegating legislative power to a foreign entity operating entirely outside the state. Allen v. Rhode Island State Bd. of Veterinarians, 72 R.I. 372 , 52 A.2d 131, 1947 R.I. LEXIS 19 (1947).

5-25-11. Licensing of veterinarians.

  1. By examination.  The applicant is required to pass, with a grade determined by the division, an examination approved by the division; upon payment of an examination fee as set forth in § 23-1-54 , every candidate who passes that examination and in the opinion of the division meets the qualifications of § 5-25-10 , shall, upon payment of an initial license fee, which shall be equal to the biennial license renewal fee in effect, be issued a license to practice veterinary medicine. Veterinarians licensed under the provisions of this chapter on August 31, 1985, shall continue to be licensed.
  2. Without examination by endorsement.  A license to practice veterinary medicine may be issued without examination to an applicant who has been duly licensed by examination as a veterinarian under the laws of another state or territory or District of Columbia, if, in the opinion of the division, the applicant meets the qualifications required of veterinarians in this state, as further defined in rules and regulations.
  3. Emergency or natural disaster.  A veterinarian who is properly and currently licensed or credentialed in another state may practice, without written examination or other qualification, in the state of Rhode Island during an emergency or natural disaster as determined by the Rhode Island state veterinarian or the chief of the division of agriculture. The veterinarian shall provide only those services that are at the direction of the Rhode Island state veterinarian or the chief of the division of agriculture and that are directly related to a response to an emergency or natural disaster and only until the services of the veterinarian are no longer required as determined by the Rhode Island state veterinarian or the chief of the division of agriculture.

History of Section. P.L. 1985, ch. 531, § 2; P.L. 1997, ch. 343, § 1; P.L. 2001, ch. 77, art. 14, § 3; P.L. 2007, ch. 73, art. 39, § 2; P.L. 2012, ch. 241, art. 9, § 2; P.L. 2013, ch. 32, § 1; P.L. 2013, ch. 42, § 1.

5-25-12. Expiration and renewal of licenses.

  1. The certificate of every person licensed as a veterinarian under the provisions of this chapter expires on the first day of May of each even-numbered year. On or before the first day of March of each two-year (2) period, the department shall mail an application for renewal of license to every person to whom a license has been issued or renewed during the current licensure period. Every person so licensed who desires to renew his or her license shall file with the department a renewal application duly executed together with a renewal fee as set forth in § 23-1-54 on or before the thirty-first day of March of each even-numbered year.
  2. Upon receipt of an application, and payment of the renewal fee, the department shall grant a renewal license effective the second day of May, and expiring on the first day of May of the next even-numbered year.
  3. Any person who allows his or her license to lapse by failing to renew it on or before the thirty-first day of March of the next even-numbered year, as provided in subsection (a), may be reinstated by the department on payment of the current renewal fee plus an additional fee as set forth in § 23-1-54 .
  4. Any person using the title “veterinarian” during the time that his or her license has lapsed is subject to the penalties provided for violations of this chapter.
  5. Every veterinarian licensed to practice veterinary medicine within the state shall, in connection with renewal of licensure, provide satisfactory evidence to the department that in the preceding two-year period the veterinarian has completed a prescribed course of continuing professional education established by an appropriate professional veterinary medicine association and approved by rule or regulation of the department. The department may extend for only one six-month (6) period, these education requirements if the department is satisfied that the applicant has suffered hardship which prevented meeting the educational requirement.

History of Section. P.L. 1985, ch. 531, § 2; P.L. 2001, ch. 77, art. 14, § 3; P.L. 2004, ch. 170, § 1; P.L. 2004, ch. 241, § 1; P.L. 2007, ch. 73, art. 39, § 2; P.L. 2012, ch. 241, art. 9, § 2.

Cross References.

Veteran’s certificate, renewal on discharge, § 30-20-1 .

5-25-13. Emergency services.

  1. Every veterinary practice shall provide some form of referral for emergency veterinary services when a veterinarian is not available. That referral, at the minimum, shall be a combination of a posted sign at the veterinary practice entrance and access to emergency veterinary services through the veterinary practice main telephone number.
  2. A veterinarian who advertises veterinary emergency services shall include in all emergency-service advertisements the hours during which such emergency services are provided and the availability of the veterinarian who is to provide emergency service in his or her practice.
    1. The availability of the veterinarian who is to provide emergency service shall be specified as either “veterinarian on premises” or “veterinarian on call.”
    2. The phrase “veterinarian on premises” means that there is a veterinarian actually present at the hospital, clinic, or other type of veterinary practice, who is prepared to render emergency veterinary services.
    3. The phrase “veterinarian on call” means that a veterinarian is not present at the hospital, clinic, or other type of veterinary practice but is able to respond within a reasonable time to requests for emergency veterinary services and has been designated to so respond.

History of Section. P.L. 1985, ch. 531, § 2; P.L. 1997, ch. 343, § 1.

5-25-14. Grounds for denial, revocation, or suspension of license.

The division has the power to deny, revoke, or suspend any license issued under this chapter or otherwise discipline a licensee upon proof of the following:

  1. Conviction of a felony; and conviction of a crime arising out of the practice of veterinary medicine;
  2. Addiction to narcotics, habitual drunkenness, or rendering professional services to a patient while the veterinarian is intoxicated or incapacitated by the use of drugs;
  3. Knowingly placing the health of a client at serious risk without maintaining proper precautions;
  4. Fraud or misrepresentation in any phase of procuring or renewing a license;
  5. Unprofessional conduct, which includes the matters set forth in this section or other matters as further defined in regulations of the division;
  6. Advertising designed to mislead the public;
  7. Representing certain procedures are performed with greater authority or expertise;
  8. Fraud or misrepresentation of treatment procedures or statements regarding the ability to treat;
  9. Fee splitting or kickbacks of any kind, except where services are provided jointly;
  10. Failure to maintain acceptable sanitation standards;
  11. Malpractice, gross negligence, or wanton disregard of accepted professional standards;
  12. Adjudication of mental incompetence;
  13. Lack of fitness to practice by reason of mental or physical impairment or otherwise; or
  14. Any other grounds to deny, revoke, or suspend a license as provided for in the rules and regulations.

History of Section. P.L. 1985, ch. 531, § 2; P.L. 1997, ch. 343, § 1; P.L. 2004, ch. 467, § 1; P.L. 2021, ch. 400, § 5, effective July 13, 2021; P.L. 2021, ch. 401, § 5, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 5, and P.L. 2021, ch. 401, § 5 enacted identical amendments to this section.

Cross References.

Advertising of controlled substances prohibited, § 21-28-3.23 .

Suspension of license for drug addiction, § 21-28-5.11 .

Suspension or revocation of license for violation of controlled substances law, § 21-28-5.09 .

5-25-15. Procedure for discipline of veterinarians.

  1. When a written allegation is filed with the division charging a person with having been guilty of any of the actions specified in § 5-25-14 , the division of professional regulation shall immediately investigate those charges.
  2. In the event the investigation reveals reasonable grounds for believing that the applicant or veterinarian is guilty of the charges, upon the recommendation of the division or the administrator, the director shall fix a time and place for hearing the charges, and shall cause a copy of the charges, together with a notice of the time and the place fixed for the hearing, to be served personally upon the accused at least twenty (20) days prior to the time fixed for the hearing. When personal service cannot be effected and that fact is certified, by oath, by any person duly authorized to make service, the division shall cause to be published once in each of two (2) successive weeks, a notice of the hearing in a newspaper published in the county where the accused last resided according to the records of the division and shall mail a copy of the charges and of the notice to the accused at his or her last known address. When publication of notice is necessary, the date of the hearing shall not be less than twenty (20) days after the last date of publication of the notice. At the hearing, the accused shall have the right to appear personally or by counsel or both; to produce witnesses and evidence on his or her behalf; to cross-examine witnesses; and to have subpoenas issued by the administrator of the division of professional regulation. The attendance of witnesses and the production of books, documents, and papers at the hearing may be compelled by subpoenas issued by the administrator, which shall be served in accordance with law. At the hearing, the administrator shall administer oaths as are necessary for the proper conduct of the hearing. The division shall not be bound by the strict rules of procedure or by the laws of evidence in the conduct of its proceedings, but the determination shall be based upon sufficient legal evidence to sustain it. If the accused is found guilty of the charges, the division may refuse to issue a registration to the applicant or may revoke or suspend their license or otherwise discipline that person.
  3. Upon the revocation or suspension of any license, the holder of the license shall surrender the license to the administrator of the division who shall strike the name of the holder from the register.
  4. A revoked or suspended license may be reviewed at the discretion of the division.

History of Section. P.L. 1985, ch. 531, § 2.

5-25-16. Appeal from a final decision or ruling of the division of professional regulation or the director of the department of health.

Any person aggrieved by any final decision or ruling of the division or the director has a right to appeal as provided in chapter 35 of title 42.

History of Section. P.L. 1985, ch. 531, § 2.

5-25-17. Immunity from liability for gratuitous emergency care.

  1. No veterinarian licensed under the provisions of this chapter or members of the same profession duly licensed to practice in other states of the United States, who voluntarily and gratuitously and other than in the course of his or her employment or practice renders emergency veterinary assistance to an animal in need of assistance, is liable for civil damages for any injuries that result from acts or omissions by those persons in rendering the emergency care, which may constitute ordinary negligence.
  2. The immunity granted by this section does not apply to acts or omissions constituting gross negligence.

History of Section. P.L. 1985, ch. 531, § 2.

Chapter 26 Division of Professional Regulation

5-26-1. Establishment of division — Administrator.

Within the department of health there shall be a division of professional regulation, and the director of health shall appoint an administrator of that division, in accordance with the provisions of chapter 4 of title 36. The administrator of the division of professional regulation shall act as the administrative agent for the boards established.

History of Section. P.L. 1939, ch. 660, § 190; P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-26-1 .

Comparative Legislation.

Division of registration:

Mass. Ann. Laws ch. 13, § 8 et seq.; ch. 112, § 1 et seq.

5-26-2. Boards of examiners appointed by director of health.

The director of health, with the approval of the governor, shall also appoint to the division of professional regulation a board of nursing registration and education as provided by chapter 34 of this title, and a board of examiners of each of the following arts, practices, sciences, or callings: barbering, podiatry, chiropractic (except as provided in § 5-30-1.1 ), psychology, optometry, electrolysis, and physical therapy; and a board of five (5) examiners in speech pathology, audiology, and embalming. Those boards shall perform the duties prescribed by chapters 10, 29, 30 (except as provided in § 5-30-1.1 ), 32, 33, 34, 35, 40, 44, and 48 of this title.

History of Section. P.L. 1939, ch. 660, § 190; P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-26-2 ; P.L. 1962, ch. 211, § 1; P.L. 1969, ch. 233, § 1; P.L. 1973, ch. 143, § 2; P.L. 1982, ch. 383, § 1; P.L. 1986, ch. 301, § 3; P.L. 1999, ch. 108, § 1.

Cross References.

Board of barbering and hairdressing, § 5-10-1 et seq.

Board of examiners for nursing home administrators, § 5-45-1 .

Board of hearing aid dealers and fitters, § 5-49-15 et seq.

Board of nurse registration and nursing education, § 5-34-4 et seq.

Board of optometry, § 5-35.1-13 et seq.

Board of physical therapy, § 5-40-2 et seq.

Board of psychology, § 5-44-2 et seq.

Chiropractic examiners, § 5-30-10 .

Electrolysis examinations, § 5-32-6 .

Embalming board of examiners, § 5-33.2-2 .

Podiatry examiners, § 5-29-2 et seq.

Speech-language pathology and audiology, § 5-48-2 .

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

5-26-3. Qualifications of examiners.

The examiners appointed for each specific art, practice, science, or calling referred to in § 5-26-2 shall be persons competent to give those examinations and shall be appointed from persons licensed to practice such an art, practice, science, or calling in this state, except that one member of each of the chiropractic, and electrolysis boards shall be a physician licensed to practice medicine in the state.

History of Section. P.L. 1939, ch. 660, § 190; P.L. 1949, ch. 2228, § 1; impl. am. P.L. 1951, ch. 2686, § 1; G.L. 1956, § 5-26-3 ; P.L. 1979, ch. 56, § 1; P.L. 1986, ch. 301, § 3.

5-26-4. Terms of examiners — Vacancies.

The membership of the boards of examiners mentioned in § 5-26-2 shall be for terms of three (3) years. On the expiration of the term of any member, the director of health, by and with the advice and consent of the governor, shall fill the vacancy by appointment for a term of three (3) years. On the death, resignation, or removal for cause of any member, the director of health, by and with the consent and advice of the governor, shall fill the vacancy by appointment for the unexpired portion of the term. Every member shall serve until his or her successor has been appointed and qualified.

History of Section. P.L. 1939, ch. 660, § 190, as enacted by P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-26-4 .

5-26-5. Holding of examinations — Compensation of examiners.

The director of health shall cause examinations to be held as required by law for the various arts and practices enumerated in § 5-26-2 . Members of each board of examiners as enumerated in § 5-26-2 shall not be compensated for their service on the board of examiners.

History of Section. P.L. 1939, ch. 660, § 190; P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-26-5 ; P.L. 1982, ch. 383, § 1; P.L. 2005, ch. 117, art. 21, § 8.

Cross References.

Barber and hairdresser examinations, § 5-10-6 .

Chiropractic examinations, § 5-30-9 .

Electrolysis examinations, § 5-32-6 .

Embalmers’ and funeral directors’ examinations, § 5-33.2-6 .

Podiatry examinations, § 5-29-7 .

5-26-6. Nondiscrimination in licensing or certification.

The division of professional regulation and the licensing and examining boards established in this title shall administer their licensing or certification programs in a manner that does not violate the requirements of 29 U.S.C. § 794, 42 U.S.C. § 12101 et seq., and chapter 87 of title 42.

History of Section. P.L. 1999, ch. 158, § 2; P.L. 1999, ch. 368, § 2.

Chapter 27 Barbers [Repealed.]

5-27-1 — 5-27-35. [Repealed.]

Repealed Sections.

This chapter (P.L. 1903, ch. 1100, §§ 1, 3, 4, 7, 9—11, 13—15; C.P.A. 1905, § 1215; G.L. 1909, ch. 113, §§ 1, 4, 7, 9—11, 13—15; P.L. 1916, ch. 1383, § 1; G.L. 1923, ch. 156, §§ 1, 4, 7, 9—16; P.L. 1932, ch. 1892, § 1; P.L. 1932, ch. 1893, § 1; P.L. 1932, ch. 1961, §§ 1, 2; P.L. 1934, ch. 2110, §§ 1, 3, 6—13; P.L. 1935, ch. 2222, §§ 1, 2; P.L. 1935, ch. 2250, § 118; P.L. 1938, ch. 2613, § 1; G.L. 1938, ch. 262, §§ 1—11, 13; P.L. 1939, ch. 660, § 180, 183; P.L. 1942, ch. 1253, § 1; P.L. 1949, ch. 2228, § 1; P.L. 1949, ch. 2273, § 1; P.L. 1949, ch. 2329, §§ 1, 2; P.L. 1960, ch. 76, § 11; P.L. 1961, ch. 60, § 1; P.L. 1962, ch. 200, §§ 1—7; P.L. 1963 ch. 89 § 4; P.L. 1966, ch. 261, § 3; P.L. 1970, ch. 194, § 1; P.L. 1978, ch. 68, § 1; P.L. 1980, ch. 285, § 1; P.L. 1981, ch. 275, §§ 1, 2; P.L. 1982, ch. 418, § 1; P.L. 1983, ch. 253, §§ 7, 8; P.L. 1985, ch. 181, art. 52, §§ 1, 2) consisting of §§ 5-27-1 — 5-27-35 and concerning barbers, was repealed by P.L. 1981, ch. 275, § 1 and P.L. 1993, ch. 289, § 2, effective January 1, 1994. For present similar provisions, see § 5-10-1 et seq.

Chapter 28 Basic Sciences [Repealed.]

5-28-1 — 5-28-17. [Repealed.]

Repealed Sections.

These sections (P.L. 1940, ch. 891, §§ 1 — 3, 5 — 15; P.L. 1940, ch. 891, § 14; P.L. 1943, ch. 1356, § 1; G.L. 1956, §§ 5-28-1 5-28-1 7; P.L. 1968, ch. 11, § 1) were repealed by P.L. 1971, ch. 203, § 1.

Chapter 29 Podiatrists

5-29-1. Definitions.

  1. “Board” means the Rhode Island board of examiners in podiatry.
  2. “Department” means the Rhode Island department of health.
  3. “Director” means the director of the Rhode Island department of health.
  4. “Healthcare facility” means any institutional health service provider licensed pursuant to the provisions of chapter 17 of title 23.
  5. “Health maintenance organization” means a public or private organization licensed pursuant to the provisions of chapter 17 of title 23 or chapter 41 of title 27.
  6. “Limited registrant” means a person holding a limited registration certificate pursuant to the provisions of this chapter.
  7. “Nonprofit medical services corporation” or “nonprofit hospital service corporation” or “nonprofit podiatry/medical service corporation” means any corporation organized pursuant to chapter 19 or 20 of title 27 for the purpose of establishing, maintaining, and operating a nonprofit medical hospital.
  8. “Peer-review board” means any committee of a state or local podiatry association or society, or a committee of any licensed healthcare facility, or the podiatry staff of the committee, or any committee of a podiatric care foundation or health maintenance organization, or any staff committee or consultant of a hospital, medical, or podiatric service corporation, the function of which, is to evaluate and improve the quality of podiatric care rendered by providers of podiatric care service or to determine that podiatric care services rendered were professionally indicated or were performed in compliance with the applicable standard of care or that the cost for podiatric care rendered was considered reasonable by the providers of professional podiatric care services in the area and shall include a committee functioning as a utilization review committee under the provisions of the Health Insurance for the Aged Act (Medicare) or as a professional standards review organization or statewide professional standards review council under the provisions of P.L. 92-603, 42 U.S.C. § 1301 et seq. (professional standards review organizations), or a similar committee or a committee of similar purpose, to evaluate or review the diagnosis or treatment of the performance or rendition of podiatric services that are performed under public podiatric programs of either state or federal design.
  9. “Person” means any individual, partnership, firm, corporation, association, trust or estate, state or political subdivision or instrumentality of a state.
  10. “Podiatrist” means a person with a license to practice podiatric medicine and surgery in this state under the provisions of this chapter.
  11. “Podiatrist,” a person licensed as described in this chapter, shall be considered a physician and surgeon of the foot and ankle. For the purposes of reimbursement by and for subscriber benefits/participation agreements with health maintenance organizations, nonprofit medical-service corporations, for-profit medical service corporations, and third-party insurers, it is unlawful to discriminate against podiatrists.
  12. “Practice of podiatry.” Any person is practicing podiatry within the meaning of this chapter who uses or permits to be used, directly or indirectly, for profit or otherwise, for their own self or for any other person, in connection with their own name, the word “podiatrist” or “podiatric physician and surgeon,” or the title DPM, or any other words, letters, titles, or descriptive matter, personal or not, that directly or indirectly implies the practice of podiatry, or who owns, leases, maintains, or operates a podiatry business in any office or other room or rooms where podiatry operations are performed, or directly or indirectly is manager, proprietor, or conductor of the business; or who directly or indirectly informs the public in any language, orally, in writing, or by drawings, demonstrations, specimens, signs, or pictures that he or she can perform or will attempt to perform foot operations of any kind; or who undertakes, by any means or method, gratuitously or for a salary, fee, money, or other reward paid or granted directly or indirectly to himself or herself or to any other person, to diagnose or profess to diagnose, or to treat or profess to treat, or to prescribe for or profess to prescribe for any of the lesions, diseases, disorders, or deficiencies of the pedal extremity. The foot is defined to be the pedal extremity of the human body and its articulations, and shall include the tendons and muscles of the lower leg only as they are involved in the condition of the foot.
  13. Wherever in the general or public laws there appear the words chiropody, chiropodist, and chiropodists, the words podiatry, podiatrist, and podiatrists shall be substituted.

History of Section. P.L. 1988, ch. 274, § 2.

Repealed Sections.

A former chapter 29 of this title (P.L. 1936, ch. 2364, §§ 1-11; P.L. 1938, ch. 2643, § 2; G.L. 1938, ch. 278, §§ 1-12; P.L. 1943, ch. 1327, § 1; P.L. 1952, ch. 2961, § 1; G.L. 1956, §§ 5-29-1 5-29-11 , 5-29-1 6, 5-29-17 ; R.P.L. 1957, ch. 79, § 1; R.P.L. 1957, ch. 164, § 1; P.L. 1960, ch. 76, § 12; P.L. 1962, ch. 86, § 1; P.L. 1966, ch. 222, §§ 1, 2; P.L. 1976, ch. 160, § 1; P.L. 1981, ch. 275, §§ 3, 4; P.L. 1986, ch. 444, § 1; P.L. 1986, ch. 451, § 1), consisting of §§ 5-29-1 — 5-29-11 and 5-29-16 5-29-18 and concerning podiatrists, was repealed by P.L. 1988, ch. 274, § 1, effective October 1, 1988. Section 2 of P.L. 1988, ch. 274 enacted the present provisions concerning the same subject matter, effective October 1, 1988. Sections 5-29-12 5-29-15 (G.L. 1938, ch. 278, § 13; P.L. 1945, ch. 1637, § 1; G.L. 1956, §§ 5-29-12 5-29-15 ), concerning minimum fees, were repealed by P.L. 1981, ch. 275, § 3.

Comparative Legislation.

Podiatrists:

Conn. Gen. Stat. § 20-50 et seq.

Mass. Ann. Laws ch. 13, § 12A — 12C; ch. 112, § 13 et seq.

Collateral References.

Physicians’ and surgeons’ liens. 39 A.L.R.5th 787.

Validity, construction, and application of podiatry or chiropody statutes. 45 A.L.R.4th 888.

5-29-2. Board of examiners in podiatry — Members.

  1. There is created within the department of health, the Rhode Island board of examiners in podiatry which shall be composed of the following members: four (4) licensed podiatrists; and one public member not associated with the podiatry or medical field. The governor shall appoint the members of the board except, prior to appointing the four (4) podiatry members, the governor shall submit a list of all candidates to the appropriate podiatry societies for comments as to their qualifications. When the board is first constituted, three (3) members shall be appointed to a term of three (3) years, two (2) members shall be appointed to a term of two (2) years, and subsequently, all members shall be appointed to terms of three (3) years. No member shall be appointed for more than two (2) consecutive full terms. A member appointed for less than a full term (originally or to fill a vacancy) may serve two (2) full terms in addition to that part of a full term, and a former member shall again be eligible for appointment after a lapse of one or more years. Any member of the board may be removed by the director of health after consultation with the governor for neglect of duty, malfeasance in office after being given a written statement of the charges against him or her and sufficient opportunity to be heard on the charges. The board shall elect from its members a chairperson and vice chairperson and secretary who shall serve for one year or until their successors are appointed and qualified.
  2. The vice chairperson shall in the absence of the chairperson exercise all powers of the chairperson.
  3. The board shall meet at least twice annually or more often upon the call of the chairperson, director of health, or administrator of the division of professional regulation.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-3. Examining committees.

The chairperson shall appoint two (2) licensed podiatrist members of the board and one public member to serve as an examining committee for applicants applying for licensure as podiatrists. The examining committee for podiatrists shall recommend to the full board which shall recommend to the director, applicants for licensure to practice podiatry who meet all the requirements for licensure set forth in this chapter, other applicable sections of the general laws, and regulations adopted under this chapter.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-4. Powers and duties of the board.

The board has the following duties and powers:

  1. To adopt, amend, and rescind any rules and regulations with the approval of the director as is necessary to carry out the provisions of this chapter;
  2. To investigate all complaints and charges of unprofessional conduct against any licensed podiatrist, or limited registrant and to hold hearings to determine whether those charges are substantiated or unsubstantiated;
  3. To recommend applicants for licensure to practice podiatry who meet all requirements for licensure to the practice of podiatry and who meet all the requirements for licensure set forth in this chapter, other applicable sections of the general laws, and regulations adopted under this chapter;
  4. To investigate the conduct or competence of any licensed podiatrist or limited registrant;
  5. To direct the director to revoke, suspend, or impose other disciplinary action as to persons licensed or registered under this chapter;
  6. To issue subpoenas and administer oaths in connection with any investigations, hearing, or disciplinary proceedings held under the authority of this chapter;
  7. To take or cause depositions to be taken as needed in any investigation, hearing, or proceedings;
  8. To summon and examine witnesses during any investigation, hearing, or proceeding conducted by the board; and
  9. To adopt and publish with the prior approval of the director rules of procedure and other regulations in accordance with the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-5. Power of the director.

The director has the following duties and powers:

  1. To issue, pursuant to any rules and regulations promulgated by the board and approved by the director, all licenses and registrations required by this chapter to duly qualified applicants;
  2. To deny licenses and registrations, to revoke, suspend, or otherwise discipline licensees in accordance with the provisions of this chapter; and
  3. To exercise all other powers, specifically conferred upon the director by virtue of the provisions of this chapter or other applicable sections of the general laws of the state.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-6. Qualifications of applicants.

  1. All persons subsequently desiring to commence the practice of podiatry in this state shall apply to the division of professional regulation for a license. Applicants for examination shall present to the division, at least thirty (30) days before the commencement of the examination at which he or she is to be examined, a written application on a form or forms provided by the division, together with satisfactory proof that the applicant is more than eighteen (18) years of age; is of good moral character; has obtained a certificate showing that the applicant before entering a school or college of podiatric medicine and surgery had obtained an academic education consisting of at least three (3) years of study at a duly recognized college or university. The applicant shall provide evidence of satisfactory completion of a course of study in podiatric medicine approved and accredited by the Council on Podiatric Medical Education of the American Podiatric Medical Association.
  2. The applicant shall provide evidence that the degree doctor of podiatric medicine was conferred upon the applicant from the same college as was his or her course of study.
  3. In addition to the above requirements the applicant shall provide evidence of satisfactory completion of a minimum one-year residency program as defined, recognized, and accredited by the Council on Podiatric Medical Education of the American Podiatric Medical Association, and the program must have also been accredited by that body at the time of residency participation.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-7. Examination of applicants — Fees — Reexamination.

The division of professional regulation board of podiatry examiners is empowered to review applications as defined in this chapter and to require a minimum application fee as set forth in § 23-1-54 at the time of application. Application fees are not refundable unless due to sickness or other good cause appearing to the satisfaction of the division such applicant was prevented from attending and completing the examination. One further or subsequent examination under that application may be given to applicants in the discretion of the division, without payment of an additional fee.

History of Section. P.L. 1988, ch. 274, § 2; P.L. 2001, ch. 77, art. 14, § 4; P.L. 2007, ch. 73, art. 39, § 3; P.L. 2012, ch. 241, art. 9, § 3.

5-29-8. Conduct of examination — Issuance of license — Filing of papers.

  1. All applicants are required to take an examination with respect to theory as well as a practical examination. Any applicant who has fulfilled all requirements other than completion of residency is permitted to take the theoretical examination, but no applicant is permitted to take the practical examination until he or she has satisfactorily passed the theoretical examination and has completed his or her residency as provided in § 5-29-6 .
  2. The application and examination papers shall be deposited in the files of the division, and they shall be prima facie evidence of all matters contained in them. All licenses shall be signed by the director of health and shall be attested by his or her seal.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-9. Certification without examination of podiatrists from other states.

There shall be no reciprocity in granting licenses for the practice of podiatric medicine and surgery (podiatry) to licensees from other states or countries.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-10. Biennial permit to practice podiatry.

All licenses to practice podiatry shall be renewed biennially on the date of expiration. Every person licensed to practice podiatry pursuant to this chapter shall make application for renewal of the license. The application shall be accompanied or supported by evidence of the completion of a minimum of fifteen (15) continuing medical education credits per year as approved by the board of examiners in podiatry. Failure of an applicant for renewal of license to practice to furnish that evidence constitutes ground for revocation, suspension, or refusal to renew the license, unless the board of examiners in podiatry in its discretion determines the failure to have been due to reasonable cause or excusable neglect. The applicant shall be given a six-month (6) period to make up the appropriate amount of credits that were required to bring him or her into compliance. Subsequently the candidate is subject to immediate suspension and revocation of license.

History of Section. P.L. 1988, ch. 274, § 2; P.L. 1989, ch. 159, § 1.

5-29-11. Fee.

The biennial renewal fee shall be as set forth in § 23-1-54 .

History of Section. P.L. 1988, ch. 274, § 2; P.L. 1989, ch. 159, § 1; P.L. 2001, ch. 77, art. 14, § 4; P.L. 2007, ch. 73, art. 39, § 3; P.L. 2012, ch. 241, art. 9, § 3.

5-29-12. Refusal of licensure.

  1. The director upon recommendation from the board shall, after due notice and a hearing in accordance with procedures set forth in this chapter, refuse to grant the original license provided for in this chapter to any podiatrist and/or applicant who is not of good moral character; who does not meet the requirements for licensure set forth in this chapter and regulations established by the board or director; who has violated any law affecting the ability of any podiatrist and/or applicant to practice podiatry; or who has been found guilty in another state of conduct that, if committed in Rhode Island, would constitute unprofessional conduct as defined by the general laws and regulations adopted pursuant to the general laws.
  2. The director shall serve a copy of the decision or ruling upon any person whose original certificate has been refused.

History of Section. P.L. 1988, ch. 274, § 2; P.L. 2021, ch. 400, § 6, effective July 13, 2021; P.L. 2021, ch. 401, § 6, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 6, and P.L. 2021, ch. 401, § 6 enacted identical amendments to this section.

5-29-13. Limited registrations.

  1. An applicant for limited registration under this chapter who furnishes the division of professional regulation of the department of health with satisfactory proof that the applicant is eighteen (18) years of age or older and of good moral character; that the applicant has creditably completed not less than two (2) years of study in a legally chartered podiatry school that is accredited by the Council on Podiatric Medical Education of the American Podiatric Medical Association having power to grant degrees in podiatry; and that the applicant has been appointed an intern, resident, fellow, or podiatry officer in a hospital or other institution maintained by the state, or by a city or town, or in a hospital or clinic that is incorporated under the laws of this state or in a clinic that is affiliated with a hospital licensed by the department of health, or in an outpatient clinic operated by the state, may, upon the payment in an amount set forth in § 23-1-54 , be registered by the division as a hospital officer for any time that the division prescribes. The limited registration entitles the applicant to practice podiatry in the hospital or other institution designated on his or her certificate of limited registration, or outside that hospital or other institution for the treatment, under the supervision of one of its medical officers who is a duly licensed physician and/or podiatrist of persons accepted by it as patients, or in any hospital, institution, clinic, or program affiliated for training purposes with the hospital, institution, or clinic designated on the certificate, which affiliation is approved by the division of professional regulation and the Council of Podiatric Medical Education of the American Podiatric Medical Association and in any case under regulations established by such hospital, institution, or clinic. Provided, that each hospital, institution, or clinic shall annually submit to the division of professional regulation a list of affiliated hospitals, institutions, clinics, or programs providing training programs that comply with the terms of this section. Limited registration under this section may be revoked at any time by the division.
  2. The division of professional regulation of the department of health may promulgate any rules and regulations that it deems necessary to effect the provisions of this chapter.

History of Section. P.L. 1988, ch. 274, § 2; P.L. 2001, ch. 77, art. 14, § 4; P.L. 2007, ch. 73, art. 39, § 3; P.L. 2012, ch. 241, art. 9, § 3.

5-29-14. Limited registration — Academic faculty.

Notwithstanding any other provisions of this chapter, a podiatrist of noteworthy and recognized professional attainment who is a clearly outstanding podiatrist and who has been offered by the dean of a medical school or podiatry school in this state a full-time academic appointment is eligible for a limited registration while serving on the academic staff of the medical school or podiatry school. Upon recommendation of the dean of an accredited school of medicine or podiatry in this state, the board in its discretion, after being satisfied that the applicant is a graduate of a foreign podiatry school and a person of professional rank whose knowledge and special training will benefit that medical school or podiatry school, may issue to that podiatrist a limited registration to engage in the practice of podiatry to the extent that the practice is incidental to a necessary part of his or her academic appointment and then only in the hospital or hospitals and outpatient clinics connected with the medical school or podiatry school. Except to the extent authorized by this section, the registrant shall not engage in the practice of podiatry or receive compensation for that practice, unless he or she is issued a license to practice podiatry. The registration is valid for a period of not more than one year expiring on the 30th day of June following its initial effective date, but may be renewed annually; provided, that the registration automatically expires when the holder’s relationship with the medical school or podiatry school is terminated. The application fee for the registration authorized under this section and for the application fee for biennial renewal, as promulgated by the director, shall be as set forth in § 23-1-54 .

History of Section. P.L. 1988, ch. 274, § 2; P.L. 1989, ch. 159, § 1; P.L. 2001, ch. 77, art. 14, § 4; P.L. 2007, ch. 73, art. 39, § 3; P.L. 2012, ch. 241, art. 9, § 3; P.L. 2019, ch. 308, art. 1, § 12.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-29-15. Immunity from suit.

  1. The director of health and board members are immune from suit in any action, civil or criminal, based upon any disciplinary proceeding or other official act performed in good faith in the course of their duties under this chapter. There is no civil liability on the part of or cause of action of any nature against the board, director, their agents or their employees or against any organization or its members, peer review board or its members, or other witnesses and parties to board proceedings for any statement made by them in any reports, communications, or testimony concerning an investigation of the conduct or competence of a licensed podiatrist or limited registrant.
  2. No licensed healthcare provider, podiatrist, or limited registrant shall discharge, threaten, or otherwise discriminate against any employee, staff member, or any other person for making a report, giving testimony, or providing any other communication to the board of examiners in podiatry, a peer-review organization, or any appropriate supervisory personnel concerning the unprofessional conduct or incompetence or negligence of a podiatrist, or limited registrant; provided, that the report, testimony, or other communication was made in good faith.

History of Section. P.L. 1988, ch. 274, § 2; P.L. 2019, ch. 308, art. 1, § 12.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-29-16. Unprofessional conduct.

The term “unprofessional conduct” as used in this chapter includes, but is not limited to, the following items or any combination of them and may be further defined by regulations established by the board with the approval of the director:

  1. Fraudulent or deceptive procuring or use of a license of limited registration;
  2. All advertising of podiatry business that is intended or has a tendency to deceive the public;
  3. Conviction of a felony, or conviction of a crime arising out of the practice of podiatry;
  4. Abandonment of a patient;
  5. Dependence upon a controlled substance, habitual drunkenness, or rendering professional services to a patient while the podiatrist or limited registrant is intoxicated or incapacitated by the use of drugs;
  6. Promotion by a podiatrist or limited registrant of the sale of drugs, devices, appliances, or goods or services provided for a patient in a manner that exploits the patient for the financial gain of the podiatrist or limited registrant;
  7. Immoral conduct of a podiatrist or limited registrant in the practice of podiatry;
  8. Willfully making and filing false reports or records in the practice of podiatry;
  9. Willful omission to file or record, or willfully impeding or obstructing a filing or recording, or inducing another person to omit to file or record podiatry/medical or other reports as required by law;
  10. Failure to furnish details of a patient’s medical record to a succeeding podiatrist or medical facility upon proper request pursuant to this chapter;
  11. Solicitation of professional patronage by agents or persons or profiting from acts of those representing themselves to be agents of the licensed podiatrist or limited registrant;
  12. Division of fees or agreeing to split or divide the fees received for professional services for any person for bringing to or referring a patient;
  13. Agreeing with clinical or bioanalytical laboratories to accept payments from those laboratories for individual tests or test series for patients, or agreeing with podiatry laboratories to accept payment from those laboratories for work referred;
  14. Willful misrepresentation in treatment;
  15. Practicing podiatry with an unlicensed podiatrist except in accordance with the rules and regulations of the board, or aiding or abetting those unlicensed persons in the practice of podiatry;
  16. Gross and willful overcharging for professional services, including filing of false statements for collection of fees for which services are not rendered or willfully making or assisting in making a false claim or deceptive claim or misrepresenting a material fact for use in determining rights to podiatric care or other benefits;
  17. Offering, undertaking, or agreeing to cure or treat disease by a secret method, procedure, treatment, or medicine;
  18. Professional or mental incompetence;
  19. Incompetent, negligent, or willful misconduct in the practice of podiatry that includes the rendering of unnecessary podiatry services and any departure from or the failure to conform to the minimal standards of acceptable and prevailing podiatry practice in his or her area of expertise as is determined by the board. The board does not need to establish actual injury to the patient in order to adjudge a podiatrist or limited registrant to be guilty of unprofessional conduct;
  20. Revocation, suspension, surrender, or limitation of privilege based on quality of care provided or any other disciplinary action against a license to practice podiatry in another state or jurisdiction, or revocation, suspension, surrender, or other disciplinary action as to membership on any podiatry staff or in any podiatry or professional association or society for conduct similar to acts or conduct that would constitute grounds for action as set forth in this chapter;
  21. Any adverse judgment, settlement, or award arising from a medical liability claim related to acts or conduct similar to acts or conduct that would constitute grounds for action as defined in this chapter or regulations adopted pursuant to this chapter;
  22. Failure to furnish the board, its director, investigator, or representative information legally requested by the board;
  23. Violation of any provisions of this chapter or the rules and regulations of the board or any rules and regulations promulgated by the director or of an action, stipulation, or agreement of the board;
  24. Cheating on or attempting to subvert the licensing examination;
  25. Violating any state or federal law or regulation relating to controlled substances;
  26. Failure to maintain standards established by peer-review boards, including but not limited to, standards related to proper utilization of services, and use of nonaccepted procedure or quality of care; or
  27. A podiatrist providing services to a person who is making a claim as a result of a personal injury, who charges or collects from the person any amount in excess of the reimbursement to the podiatrist by the insurer as a condition of providing or continuing to provide services or treatment.

History of Section. P.L. 1988, ch. 274, § 2; P.L. 1999, ch. 465, § 1; P.L. 2019, ch. 308, art. 1, § 12; P.L. 2021, ch. 400, § 6, effective July 13, 2021; P.L. 2021, ch. 401, § 6, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 6, and P.L. 2021, ch. 401, § 6 enacted identical amendments to this section.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-29-17. Malpractice complaints.

  1. Any person, firm, corporation, or public officer may submit a written complaint to the board charging the holder of a license to practice podiatry or a limited registrant with unprofessional conduct, specifying the grounds for the charge. The board shall review all complaints and it shall make a written finding of facts with regard to the complaint. All complaints considered by the board or an investigating committee of the board shall be reported within six (6) months of the receipt of the complaint unless the board, on a case-by-case basis, for good cause shown in writing, extends the time for consideration. Failure to report does not divest the board of its jurisdiction to pursue the rights and remedies set forth in this chapter. If the board determines that the complaint merits consideration, or if the board, on its own initiative without a formal complaint, has reason to believe that any holder of a license or limited registration to practice podiatry is guilty of unprofessional conduct, the board shall investigate.
  2. Investigations shall remain confidential and all initial hearings, investigatory hearings, and full hearings before the board shall remain confidential. All decisions of the board shall set forth conclusions of fact and conclusions of law applicable to the decision that it has rendered. The board shall make public all decisions, including findings of fact and conclusions of law, that set forth any sanction against a license holder.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-18. Reports relating to professional conduct and capacity — Regulations — Confidentiality — Immunity.

  1. The board, with the approval of the director, may adopt regulations requiring any person, including, but not limited to, corporations, healthcare facilities, health-maintenance organizations, organizations and federal, state, or local governmental agencies, or peer-review boards, to report to the board any conviction, determination, or finding that a licensed podiatrist has committed unprofessional conduct, or to report information that indicates that a podiatrist may not be able to practice podiatry with reasonable skill and safety to patients as the result of any mental or physical condition. The regulations shall include the reporting requirements set forth in subsections (b)(1), (b)(2), and (b)(3) of this section.
  2. The following reports, in writing, shall be filed with the board:
    1. Every insurer providing professional liability insurance to the podiatrist licensed under the provisions of this chapter shall send a complete report to the board as to any formal notice of any claim, settlement of any claim or cause of actions, or final judgment rendered in any cause of action for damages for death or personal injury caused by the podiatrist’s negligence, error, or omission in practice or his or her rendering of unauthorized professional services. The report shall be sent within thirty (30) days after service of the complaint or notice, settlement, judgment, or arbitration award on the parties. All of those reports shall set forth an in-depth factual summary of the claim in question.
    2. All hospital and licensed healthcare facilities including, but not limited to, nursing homes and health maintenance organizations and the director of health, must report to the board within thirty (30) days of the action, any action, disciplinary or otherwise, taken for any reason, that limits, suspends, or revokes a podiatrist’s privilege to practice or requires supervision of a podiatrist either through formal action by the institution or faculty or through any voluntary agreement with the podiatrist.
    3. Within ten (10) days after a judgment by a court of this state that a podiatrist licensed under the provisions of this chapter has been convicted of a crime or is civilly liable for any death or personal injury caused by his or her negligence, error, or omission in his or her practice or his or her rendering of unauthorized professional services, the clerk of the court that rendered such judgment shall report the judgment to the board.
  3. The board shall report any changes of privileges of which it is aware to the board of trustees or other appropriate body of all licensed hospitals and health maintenance organizations within thirty (30) days.
  4. The contents of any report file shall be confidential and exempt from public disclosure, except that it may be reviewed:
    1. By the licensee involved or his or her counsel or authorized representative who may submit any additional exculpatory or explanatory statements or other information, which statement or other information shall be included in the file; or
    2. By the director, a representative of the board, or an investigator for the board who has been assigned to review the activities of a licensed podiatrist.
  5. Upon determination that a report is without merit, the board’s records may be purged of information relating to the report.
  6. If any person refuses to furnish a required report, the board may petition the superior court of any county in which that person resides or is found, and the superior court shall issue to that person an order to furnish the required report. Any failure to comply with that order constitutes civil contempt.
  7. Every individual, podiatry association, podiatry society, hospital, healthcare facility, health-maintenance organizations, peer-review board, health insurance carrier or agent, professional standards review organization, and agency of the federal, state, or local government is immune from civil liability, whether direct or derivative, for providing information to the board in good faith pursuant to this statute or the regulations outlined in subsection (a) of this section or requirements of subsection (b) of this section.
  8. Nondisclosure agreements are prohibited insofar as they forbid parties from making reports regarding competency or unprofessional conduct to the board of examiners in podiatry.

History of Section. P.L. 1988, ch. 274, § 2; P.L. 1997, ch. 30, art. 28, § 1.

5-29-19. Podiatry peer review.

  1. Notwithstanding other provisions of this chapter, healthcare providers may make confidential healthcare information available to podiatry peer-review committees without authorization.
  2. Confidential healthcare information before a podiatry peer-review committee remains strictly confidential, and any person found guilty of the unlawful disclosure of that information is subject to the penalties provided in this chapter.
  3. Except as provided in this section, the proceedings and records of podiatry peer-review committees are not subject to discovery or introduction into evidence. No person who was in attendance at a meeting of the committee is permitted or required to testify as to any matters presented during the proceedings of the committee or as to any finding, recommendations, evaluations, opinions, or other actions of the committee or any members of the committee. Confidential healthcare information was presented during proceedings before that committee, or is a member of that committee or other person appearing before it to be prevented from testifying as to matters within his or her knowledge and in accordance with the other provisions of this chapter, but the witness cannot be questioned about his or her testimony or other proceedings before the podiatry peer-review committee or about opinions formed by him or her as a result of those proceedings.
  4. The provisions of subsection (c) of this section limiting discovery and testimony do not apply in any legal action brought by a podiatry peer-review committee to restrict or revoke a podiatrist’s hospital staff privilege, or his or her license to practice podiatry, or to cases where a member of the podiatry peer-review committee or the legal entity that formed that committee or within which that committee operates is sued for actions taken by the committee; provided, that in that legal action, personally identifiable confidential healthcare information shall not be used without written authorization of the person or his or her authorized representative or upon court order.
  5. Nothing in this chapter shall limit the authority, which may be provided by law, of the board of examiners in podiatry to require a podiatry peer-review committee to report to it any disciplinary actions or recommendations of the committee, or to transfer to it records of the committee’s proceedings or actions, including confidential podiatry information, or restrict or revoke a podiatrist’s license to practice podiatry; provided, that in the legal action, personally identifiable confidential healthcare information shall not be used without written authorization of the person or his or her authorized representative or upon court order.
  6. No member of a podiatry review committee nor the legal entity that formed or within which the committee operates nor any person providing information to the committee is criminally or civilly liable for the performance of any duty, function, or activity of the committee or based upon providing information to the committee; provided, that the action is without malice and is based upon a reasonable belief that the action is warranted.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-20. Privileges and immunities for peer-review activities.

  1. Neither the proceedings nor the records of peer-review boards are subject to discovery or admissible in evidence in any case except litigation arising out of the imposition of sanctions upon a podiatrist. Any imposition or notice of a restriction of privileges or a requirement of supervision imposed on a podiatrist for unprofessional conduct is subject to discovery and admissible in any proceeding against the podiatrist or against any podiatry care facility or podiatry care provider that allows the podiatrist to perform the podiatry procedures that are the subject of the restrictions or supervision during the period of any imposition or notice of a restriction of privileges or a requirement of supervision, and applies to records made in the regular course of business by a hospital or other provider of healthcare information. Documents or records available from original sources are not to be construed as immune from discovery or use in any civil proceedings merely because they were presented during the proceedings of the committee.
  2. There is no monetary liability on the part of, and no cause of action for damages arising against, any member of an appointed peer-review board operated pursuant to written bylaws, for any act or proceeding undertaken or performed within the scope of the functions of the board.
  3. There is no monetary liability on the part of, and no cause of action for damages arising against, any person on account of the communication of information in the possession of that person to any peer-review board or the board of examiners in podiatry when the communication is intended to aid in the evaluation of the qualifications, fitness, or character of a practitioner of podiatry and does not represent as true any matter not reasonably believed to be true.
  4. Any peer-review processes authorized by statute and carried out in good faith have the benefit of the state action exemption to the state antitrust law.

History of Section. P.L. 1988, ch. 274, § 2; P.L. 2019, ch. 308, art. 1, § 12.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-29-21. Privileges conferred by license.

All persons holding a license to practice podiatry in this state are entitled to practice podiatry.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-22. Misleading as to qualifications.

No person granted a certificate under this chapter shall display or use the title “doctor” or its synonym without the designation “podiatrist” or “podiatric medicine and surgery” and shall not mislead the public about professional qualifications to treat human ailments.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-23. Unauthorized practice — Fraud.

Any person except a licensed podiatrist, a licensed osteopathic physician, or a physician, licensed to practice medicine or surgery, who practices or attempts to practice podiatry, or any person who buys, sells, or fraudulently obtains any diploma or license to practice podiatry, or any person who uses the title “podiatrist” or any word or title to induce the belief that he or she is engaged in the practice of podiatry, without complying with the provisions of this chapter, shall upon the first conviction be punished by a fine of not less than fifty dollars ($50.00) nor more than one hundred dollars ($100), and for each subsequent offense shall be fined not less than two hundred dollars ($200) nor more than five thousand dollars ($5,000), or by imprisonment not less than thirty (30) days nor more than one year, or shall be both fined and imprisoned.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-24. Selling or giving alcohol or narcotics.

The selling or giving by any podiatrist of any substance or compound containing alcohol or narcotic drugs, for other than legal purposes, is a violation of this chapter, and grounds for revocation or suspension of the license of that podiatrist as provided in this chapter.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-25. Advertising.

No person licensed to practice podiatry shall advertise by written or spoken words of a character tending to deceive or mislead the public.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-26. Orthopedic shoes.

Nothing in this chapter is construed to prohibit the fitting, recommending, or sale of orthopedic shoes by retail dealers or manufacturers; provided, that they are not made or fabricated from plaster casts or models or by any other means for specific individual persons except upon the prescription of a podiatrist or physician.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-27. Immunity from liability.

No podiatrist licensed under the provisions of this chapter or members of that profession licensed to practice in other states of the United States, who voluntarily and gratuitously and other than in the ordinary course of his or her employment or practice, renders emergency medical assistance to a person in need of assistance, is liable for civil damages for any personal injuries that result from acts or omissions by those persons in rendering the emergency care, that may constitute ordinary negligence. The immunity granted by this section does not apply to acts or omissions constituting gross, willful, or wanton negligence, or when the medical assistance is rendered at any hospital, podiatrist’s office, or clinic where those services are normally rendered.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-28. Specification of charges.

When the board determines that action is required, or the accused requests a hearing on allegations of unprofessional conduct, a specification of charges of unprofessional conduct against the licensee or limited registration holder shall be prepared by the board and a copy served upon the accused, together with notice of the hearing. A hearing on the charges shall then be scheduled for a hearing before the board.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-29. Time and notice of hearing.

The time of the hearing shall be fixed by the board as soon as is practical. The board shall issue a notice of the hearing of the charges, which notice shall specify the time and place of the hearing and notify the accused that he or she may file with the board a written response within twenty (20) days of the date of service. The notice shall also notify the accused that a stenographic record of the proceedings shall be kept; that he or she shall have the opportunity to appear personally and to have counsel present, with the right to produce witnesses and evidence in his or her own behalf; to cross-examine witnesses; to examine any documentary evidence that is produced against the accused; and to have subpoenas issued by the board.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-30. Subpoenas — Contempt.

Subpoenas may be issued by the board or the board’s constituted committees to compel the production of documents or other written records or the attendance and testimony of witnesses at any investigation or hearing. The board shall also issue subpoenas at the request and on behalf of the accused. In the event that any person refuses to obey a subpoena or answer any proper question put to him or her during the hearing or proceeding, the superior court has jurisdiction, upon application by the board, to issue to that person an order requiring him or her to appear before the board or its hearing committee; to produce evidence if ordered to do so; or to give testimony concerning the matter under investigation. Any failure to obey that order of the court may be punished by the court as civil contempt.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-31. Report of hearing.

After holding a hearing, the board shall make a written report of its findings of fact, conclusions of law, and disciplinary order, if any.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-32. Decision of the board.

If a majority of the members of the board vote in favor of finding the accused guilty of unprofessional conduct as specified in the charges, the board shall prepare written findings of fact and law in support of that conclusion. The board shall immediately transmit its findings, together with an order as to the sanction to be imposed upon the accused to the director who shall, as soon as practicable, order appropriate action to be taken in accordance with the order of the board. If the accused is found not guilty, the board shall immediately issue an order dismissing the charges.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-33. Sanctions.

If the accused is found guilty of unprofessional conduct as specified in § 5-29-32 , the director, at the direction of the board, shall impose one or more of the following conditions:

  1. Administer a reprimand;
  2. Suspend, limit, or restrict his or her license or limited registration to practice podiatry;
  3. Require him or her to serve a period of probation subject to certain conditions and requirements including, where appropriate, sanctions or restitution;
  4. Revoke indefinitely his or her license or limited registration to practice podiatry;
  5. Require him or her to submit to the care, counseling, or treatment of a physician or program acceptable to the board;
  6. Require him or her to participate in a program of continuing podiatric education in the area or areas in which he or she has been judged deficient;
  7. Require him or her to practice under the direction of a podiatrist in a public institution, public or private healthcare program, or private practice for a period of time specified by the board;
  8. Assess against the podiatrist the administrative costs of the proceedings instituted against the podiatrist; provided, that assessment does not exceed ten thousand dollars ($10,000); or
  9. Any other conditions or restrictions deemed appropriate under the circumstances.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-34. Penalty for violations generally — Evidence of unauthorized practice.

Any person who practices or attempts to practice podiatry in this state, without being licensed by and registered with the board, or without registering and obtaining annually a certificate of registration, as provided in this chapter, or who shall violate of which is not by law provided, and any person, firm, or corporation owning or carrying on a podiatry business and in that business employing or permitting any person to practice podiatry in this state, without being licensed and obtaining an annual certificate as stated in this chapter, is guilty of a felony and, upon conviction, shall be fined not less than two thousand dollars ($2,000) nor more than five thousand dollars ($5,000), or imprisoned for not more than two (2) years, either or both, in the discretion of the court. In no case where any provision of this chapter has been violated is the person violating that provision entitled to receive compensation for service rendered. The opening or maintaining of a podiatrist’s office; displaying of a podiatrist’s sign or door plate; or the advertising in the public prints or by cards, circulars, posters, of a readiness to practice podiatry in this state by that person, firm, or corporation is evidence of that violation.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-35. Liability of employers and accomplices.

Any person who employs, hires, procures, or induces any other person not authorized by the provisions of this chapter to perform any act that constitutes the practice of podiatry in this state or aids or abets one not authorized in that practice is guilty of a felony punishable by a fine of not less than two thousand dollars ($2,000) nor more than five thousand dollars ($5,000), or by imprisonment for not more than two (2) years, or by both fine and imprisonment.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-36. Violations — Penalties.

Unless another penalty is provided by the laws of this state, any person who violates any provision of this chapter or any rule or regulation adopted under this chapter shall upon conviction, be punished by a fine of not more than five thousand dollars ($5,000) or by imprisonment for not more than one year, or both.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-37. Grounds for discipline without hearing.

The director may, temporarily, suspend the license of a podiatrist or limited registrant without a hearing if the director finds that evidence in his or her possession indicates that a podiatrist or limited registrant continuing in practice would constitute an immediate danger to the public. In the event that the director temporarily suspends the license of a podiatrist or limited registrant without a hearing by the board, a hearing must be held within ten (10) days after the suspension has occurred.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-38. Injunction of violations.

When it appears to the director and/or board that any person is violating any of the provisions of this chapter, the director and/or board may institute an action to enjoin the violation in a court of competent jurisdiction. The court may restrain and/or enjoin any person, firm, corporation, or association from violating any of the provisions of this chapter without regard to whether proceedings have been or may be instituted before the board or whether criminal proceedings have been or may be instituted.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-39. Severability.

If any provision of this chapter or any rule or regulation made under this chapter, or the application of this chapter to any person or circumstances, is held invalid by a court of competent jurisdiction, the remainder of the chapter, rule, or regulation, and the application of those provisions to other persons or circumstances, is not affected.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-40. Persons and practices exempt.

The following practices, acts, and operations are exempt from the operation of this chapter:

  1. Physicians in the regular discharge of their duties.
  2. The operation by bona fide students of podiatry in the clinical departments or the laboratory of a school of podiatry approved by the American Podiatric Medical Association on Podiatry Accreditation or its designated agency or by the board of examiners for podiatry.
  3. The practice of podiatry by licensed podiatrists of other states or countries while appearing and operating as bona fide clinicians or instructors in a school of podiatry approved by the American Podiatric Medical Association on Podiatry Accreditation or its designated agency and by the board of examiners for podiatry.
  4. The practice of podiatry by licensed podiatrists of other states or countries in conducting or making a clinical demonstration before any bona fide podiatry or medical society, association, or convention; provided, that the consent of the board of examiners in podiatry to the making and conducting of the clinical demonstration must first be obtained.
  5. The practice of podiatry by students of a school of podiatry approved by the American Podiatric Medical Association on Podiatry Accreditation or its designated agency and under the supervision of a licensed podiatrist, in any public hospital, or any institution under the supervision of the state or in any program of the state department of health, with the approval of the board of examiners in podiatry and the authorities of that school, as a part of the required training of that student.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-41. [Repealed.]

History of Section. P.L. 1988, ch. 274, § 2; Repealed by P.L. 2000, ch. 109, § 2, effective July 7, 2000.

Compiler’s Notes.

Former § 5-29-41 concerned continuation of prior proceedings.

5-29-42. Continuation of omitted regulatory statutes.

The omission of this chapter as a citation of any general law or public law now in force that makes it mandatory under or permissive for any department, division, or other agency of the state to perform certain functions that by this chapter are assigned or transferred to the department of health or board of examiners in podiatry does not, unless clearly intended, suspend or annul the right of the department of health or board of examiners in podiatry to carry out those functions.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-43. Continuation of rules and regulations.

All rules, regulations, standards, notices of violation, or orders issued, adopted, modified, or repealed by the board of examiners in podiatry pursuant to any of the provisions of this chapter remain in effect until subsequent action of the director of health or board of examiners in podiatry and are enforceable by the director of health.

History of Section. P.L. 1988, ch. 274, § 2.

5-29-44. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1989, ch. 126, art. 26, § 12; P.L. 1995, ch. 370, art. 40, § 12.

Chapter 30 Chiropractic Physicians

5-30-1. “Chiropractic medicine” defined.

For the purpose of this chapter, the practice of “chiropractic medicine” is defined as the science and art of mechanical and material healing as follows: the employment of a system of palpating and adjusting the articulations of the human spinal column and its appendages, by hand and electro-mechanical appliances, and the employment of corrective orthopedics and dietetics for the elimination of the cause of disease; provided, that chiropractic physicians may not write prescriptions for drugs for internal medication nor practice major surgery as defined in chapter 37 of this title.

History of Section. G.L. 1923, ch. 159, § 14; P.L. 1927, ch. 1067, § 1; P.L. 1931, ch. 1781, § 1; G.L. 1938, ch. 275, § 14; G.L. 1956, § 5-30-1 ; P.L. 2000, ch. 347, § 1.

Cross References.

Corporation for practice, § 7-5.1-1 et seq.

Comparative Legislation.

Chiropractors:

Conn. Gen. Stat. § 20-24 et seq.

Mass. Ann. Laws ch. 13, § 64 et seq.; ch. 112, § 89 et seq.

Collateral References.

Chiropractic, scope of practice. 16 A.L.R.4th 58.

Competency as expert witness in injury action as to injured person’s condition. 52 A.L.R.2d 1384.

Discrimination for or against chiropractor in statute prescribing conditions for practicing medicine or surgery. 37 A.L.R. 680; 42 A.L.R. 1342; 54 A.L.R. 600.

Insurance provision as insuring against disability to engage in occupation as. 149 A.L.R. 142; 153 A.L.R. 430.

Liability insurance. 33 A.L.R.4th 14.

Liability of chiropractors and other drugless practitioners for medical malpractice. 77 A.L.R.4th 273.

Malpractice, proximate cause. 13 A.L.R.2d 11.

Physician of different school as competent to testify as to malpractice of chiropractor. 85 A.L.R.2d 1022.

Physicians’ and surgeons’ liens. 39 A.L.R.5th 787.

Privileged communications, chiropractor as “physician” within rule as to. 68 A.L.R. 177.

Use of firm name on dissolution of partnership. 173 A.L.R. 476.

5-30-1.05. Chiropractor and chiropractic references.

All references in the general laws to “chiropractor” or “chiropractors” shall be changed to read “chiropractic physician” or “chiropractic physicians” as appropriate and all references to the practice of “chiropractic” shall be construed to refer to the practice of “chiropractic medicine” as defined in § 5-30-1 .

History of Section. P.L. 2000, ch. 347, § 2.

5-30-1.1. Board of chiropractic examiners.

  1. Within the division of professional regulation of the department of health, there shall be a state board of chiropractic examiners to be appointed by the director of the department of health with the approval of the governor. The board shall consist of five (5) members who are certified electors in this state, to be appointed to terms of three (3) years each. No member shall serve more than two (2) consecutive full terms. Three (3) members shall be chiropractic physicians licensed to practice in the state of Rhode Island, and two (2) members shall be representatives of the general public.
  2. The current members of the board as provided for in chapter 26 of this title shall continue to serve until the expiration of their terms. One additional chiropractic physician and the public members shall be appointed for initial terms to expire on June 30, 2002.
  3. At the expiration of the terms, the director, with the approval of the governor, shall appoint, at that time, and every three (3) years thereafter, qualified persons for a term of three (3) years. Upon the death, resignation, or removal of any member, the director of the department of health, with the approval of the governor, shall appoint to vacancies, as they occur, a qualified person to serve on the board for the remainder of the term and until his or her successor is appointed and qualified.
  4. The director of the department of health may remove any member of the board for neglect of any duty required by law or for any incompetent, unprofessional, or dishonorable conduct. Vacancies shall be filled in the same manner as the original appointment is made for the remainder of the term. Before beginning his or her term of office, each member shall take the oath prescribed by law for state officers, a record of which shall be filed with the secretary of state.

History of Section. P.L. 1999, ch. 108, § 2.

5-30-2. Board of examiners — Rules and regulations — Oaths — Seal.

The state board of chiropractic examiners shall make any rules and regulations, not inconsistent with law, that it deems necessary to carry out the provisions of this chapter relating to the practice of chiropractic medicine. Any member of the board has power to administer oaths for all purposes required in the discharge of his or her duties. The board shall adopt a seal to be affixed to all its official documents.

History of Section. G.L. 1923, ch. 159, § 17; P.L. 1927, ch. 1067, § 1; P.L. 1931, ch. 1781, § 3; G.L. 1938, ch. 275, § 17; G.L. 1956, § 5-30-2 .

Cross References.

Board of examiners, § 5-26-2 et seq.

Functions of department of health, § 42-18-1 .

5-30-3. License and annual registration required — Practice of physiotherapy.

No person may practice chiropractic medicine or any of its branches without a certificate issued under the authority of this chapter, which certificate has not been suspended or revoked as provided in this chapter, and without registering annually, as provided by § 5-30-12 . No one may represent himself or herself to be a chiropractic physician, or use the title “Doctor of Chiropractic,” “D.C.,” “Ph.C.,” “M.C.,” or any word or title to induce the belief that he or she is engaged in the practice of chiropractic medicine, without having a certificate and registering as stated in this section. No person who has a certificate to practice chiropractic medicine issued under the provisions of this chapter shall practice physiotherapy or any of its branches without a certificate authorizing him or her to do so issued under the authority of this chapter. This section shall not be construed to prevent the employment of corrective orthopedics and dietetics by other qualified persons.

History of Section. G.L. 1923, ch. 159, § 15; P.L. 1927, ch. 1067, § 1; P.L. 1928, ch. 1186, § 1; P.L. 1931, ch. 1781, § 1; G.L. 1938, ch. 275, § 15; G.L. 1956, § 5-30-3 .

Cross References.

Exemptions from chapter, § 5-37-14 .

Religious tenets unaffected, § 5-37-15 .

Veteran’s certificate, renewal on discharge, § 30-20-1 .

Collateral References.

Failure to procure license as affecting validity and enforceability of contract. 30 A.L.R. 879; 42 A.L.R. 1226; 118 A.L.R. 646.

Kind and character of treatment which may be given by one licensed as physiotherapist. 86 A.L.R. 632.

Liability for failure to refer patient to medical practitioner. 58 A.L.R.3d 590.

Liability to patient for results of treatment by unlicensed chiropractor. 44 A.L.R. 1418; 57 A.L.R. 978.

5-30-4. Penalties for unauthorized practice.

Any person violating any of the provisions of § 5-30-3 shall be guilty of a misdemeanor and upon conviction for a first offense shall be punished by a fine of not less than one hundred dollars ($100) nor more than two hundred dollars ($200), or imprisonment for three (3) months, or both the fine and imprisonment, and for a second or subsequent violation by a fine of not less than three hundred dollars ($300) nor more than five hundred dollars ($500), or imprisonment for one year, or both the fine and imprisonment.

History of Section. G.L. 1923, ch. 159, § 27; P.L. 1927, ch. 1067, § 1; P.L. 1929, ch. 1404, § 3; P.L. 1931, ch. 1781, § 10; G.L. 1938, ch. 275, § 27; G.L. 1956, § 5-30-4 .

5-30-5. Complaints of unauthorized practice.

Complaints for the violation of the provisions of § 5-30-3 may be made by the administrator of the division of professional regulation, or by any authorized agent, and they are exempt from giving surety for costs on any complaint made as stated in this section.

History of Section. G.L. 1923, ch. 159, § 23; P.L. 1927, ch. 1067, § 1; P.L. 1931, ch. 1781, § 8; G.L. 1938, ch. 275, § 23; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-30-5 .

5-30-6. Qualifications and examinations of applicants.

Every person desiring to begin the practice of chiropractic medicine, except as provided in this chapter, shall present satisfactory evidence to the division of professional regulation of the department of health that he or she is more than twenty-three (23) years of age; of good moral character; and that before he or she commenced the study of chiropractic medicine had satisfactorily completed credit courses equal to four (4) years of pre-professional study acceptable by an accredited academic college and obtained a bachelor of science or bachelor of arts degree and subsequently graduated from a school or college of chiropractic medicine approved by the division of professional regulation of the department of health; and has completed a residential course of at least four (4) years, each year consisting of at least nine (9) months study. Any qualified applicant shall take an examination before the state board of chiropractic examiners to determine his or her qualifications to practice chiropractic medicine. Every applicant for an examination shall pay a fee as set forth in § 23-1-54 for the examination to the division of professional regulation. Every candidate who passes the examination shall be recommended by the division of professional regulation of the department of health to the director of the department of health to receive a certificate of qualification to practice chiropractic medicine.

History of Section. G.L. 1923, ch. 159, § 18; P.L. 1927, ch. 1067, § 1; P.L. 1929, ch. 1404, § 1; P.L. 1931, ch. 1781, § 4; G.L. 1938, ch. 275, § 18; impl. am. P.L. 1939, ch. 660, § 180; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-30-6 ; P.L. 1960, ch. 76, § 13; P.L. 1971, ch. 203, § 2; P.L. 1994, ch. 190, § 1; P.L. 2001, ch. 77, art. 14, § 5; P.L. 2012, ch. 241, art. 9, § 4; P.L. 2018, ch. 176, § 7; P.L. 2018, ch. 289, § 7.

Cross References.

Itinerants disqualified from practice, § 5-37-3 .

5-30-7. Certification of chiropractic physicians authorized to practice in other states.

The division of professional regulation of the department of health may, at its discretion, dispense with the examination of any chiropractic physician authorized to practice chiropractic medicine in any other state, and who has been practicing his or her profession in that state for at least five (5) years and desires to reside permanently and practice his or her profession in this state, provided the laws of that state require qualifications of a grade equal to those required in Rhode Island, and provided that equal rights are accorded by that state to chiropractic physicians of Rhode Island. The chiropractic physician shall make an application to the division for exemption from examination and the division may in its discretion exempt him or her. If the division exempts him or her, he or she shall pay a fee as set forth in § 23-1-54 for a certificate of exemption from that examination, and upon receipt of that fee, the division shall recommend him or her to the director of the department of health to receive a certificate of qualification to practice chiropractic medicine.

History of Section. G.L. 1923, ch. 159, § 18; P.L. 1931, ch. 1781, § 4; G.L. 1938, ch. 275, § 18; impl. am. P.L. 1939, ch. 660, § 180; G.L. 1956, § 5-30-7 ; P.L. 1971, ch. 203, § 3; P.L. 2001, ch. 77, art. 14, § 5; P.L. 2007, ch. 73, art. 39, § 4; P.L. 2012, ch. 241, art. 9, § 4.

5-30-8. Certification to practice physiotherapy.

  1. Every person desiring to practice physiotherapy in addition to chiropractic medicine and who completed a course of four (4) years, of eight (8) months each, in some school of chiropractic medicine approved by the division of professional regulation of the department of health; completed a course of three (3) years, of nine (9) months each, at some school of chiropractic medicine approved by the division and an additional year, of at least six (6) months, in physiotherapy and all branches of that field, at that school; or has served as an intern for six (6) months in any year at an institution approved by the division, and satisfies the division that he or she is qualified, may take an examination before the state board of chiropractic examiners to determine his or her qualification to practice physiotherapy in addition to chiropractic medicine.
  2. Every applicant for that examination shall pay a fee for the examination to the division of professional regulation of the department of health, provided that if the examination is taken at the same time as the examination to determine the applicant’s fitness to practice chiropractic medicine, only one fee as set forth in § 23-1-54 is charged. Every candidate who passes that examination shall be recommended by the division of professional regulation of the department of health to the director of the department of health to receive a certificate of qualification to practice physiotherapy.

History of Section. G.L. 1923, ch. 159, § 18; P.L. 1931, ch. 1781, § 4; G.L. 1938, ch. 275, § 18; impl. am. P.L. 1939, ch. 660, § 180; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-30-8 ; P.L. 1960, ch. 76, § 3; P.L. 1961, ch. 60, § 1; P.L. 2001, ch. 77, art. 14, § 5; P.L. 2007, ch. 73, art. 39, § 4; P.L. 2012, ch. 241, art. 9, § 4.

5-30-9. Method and scope of examinations — Reexaminations.

With the exception of vertebral palpation and adjusting which is by demonstration, the examination provided for in § 5-30-6 to determine the applicant’s qualification to practice chiropractic medicine shall be in writing, and it shall be given in any subjects that the division of professional regulation of the department of health determines, but it must include questions in all of the following subjects: microbiology, anatomy, histology and embryology, physiology, chemistry, laboratory diagnosis, hygiene and sanitation, philosophy of chiropractic medicine, spinal analysis, pathology, physical diagnosis, practice of chiropractic medicine, technique, clinical diagnosis, x-ray, first aid, gynecology, and dietetics. The division shall utilize for the examinations in the basic sciences subjects of microbiology, anatomy, physiology, chemistry, and pathology the examination prepared and scored by the examination institute committee of the Federation of State Medical Boards of the United States, Inc. (FLEX), or any other examination that in the opinion of the division of professional regulation is substantially equivalent to it. The Rhode Island board of medical licensure shall cooperate with the division in making the (FLEX) examination available. In case an applicant fails to pass the first examination, he or she is entitled to reexamination at the next regular examination without further fee. The examination to determine the applicant’s fitness to practice physiotherapy shall include questions in any branches of physiotherapy that the division determines. The division shall prepare reasonable questions and shall fairly mark and grade the answers to these questions, all of which shall be done for the purpose of determining whether the applicant is reasonably qualified to practice chiropractic medicine and physiotherapy.

History of Section. G.L. 1923, ch. 159, § 19; P.L. 1927, ch. 1067, § 1; P.L. 1931, ch. 1781, § 5; G.L. 1938, ch. 275, § 19; G.L. 1956, § 5-30-9 ; P.L. 1971, ch. 203, § 4.

Cross References.

Examinations, § 5-26-5 .

5-30-10. Issuance and registration of certificates.

Upon receipt of any recommendation from the board of chiropractic examiners, as provided in §§ 5-30-6 5-30-8 , the director of the department of health shall issue to the recommended person a certificate to practice chiropractic medicine or physiotherapy within this state, or certificates to practice each of them, in accordance with that recommendation. Those certificates shall be signed by the members of the board of chiropractic examiners and by the director of the department of health, who shall affix the official seal of the department of health to the certificates. The holder of a certificate authorizing him or her to practice chiropractic medicine, immediately upon receipt of the certificate, shall cause it to be filed for registration in the office of the clerk of the city or town in which he or she resides, and that act shall constitute him or her a regularly registered chiropractic physician.

History of Section. G.L. 1923, ch. 159, § 20; P.L. 1927, ch. 1067, § 1; P.L. 1928, ch. 1186, § 1; P.L. 1929, ch. 1404, § 2; P.L. 1931, ch. 1781, § 6; G.L. 1938, ch. 275, § 20; P.L. 1940, ch. 890, § 1; G.L. 1956, § 5-30-10 .

5-30-11. Rights and duties of chiropractic physicians.

Chiropractic physicians are entitled to the same services of the laboratories of the department of health and other institutions; are subject to the same duties and liabilities; and are entitled to the same rights and privileges in their professional calling pertaining to public health, that are imposed or given by law or regulation upon or to physicians qualified to practice medicine by § 5-37-2 ; provided, that chiropractic physicians may not write prescriptions for drugs for internal medication nor practice major surgery.

History of Section. G.L. 1923, ch. 159, § 20; P.L. 1928, ch. 1186, § 1; P.L. 1929, ch. 1404, § 2; P.L. 1931, ch. 1781, § 6; G.L. 1938, ch. 275, § 20; P.L. 1940, ch. 890, § 1; G.L. 1956, § 5-30-11 .

Cross References.

Exemption from hairdressers’ law, § 5-10-29 .

5-30-12. Annual registration — Payment of fees.

Annually, during the month of October in each year, every person granted a certificate to practice chiropractic medicine shall register his or her name, address, and place of business with the division of professional regulation of the department of health. The division shall keep a book for that purpose, and each person registering shall pay a fee as set forth in § 23-1-54 and shall receive a certificate of registration for the next succeeding fiscal year, unless the certificate of practice has been suspended or revoked for cause, as provided in § 5-30-13 . All fees for examination, for certificate of exemption from examination, and for annual registration shall be deposited as general revenues.

History of Section. G.L. 1923, ch. 159, § 20; P.L. 1927, ch. 1067, § 1; P.L. 1928, ch. 1186, § 1; P.L. 1929, ch. 1404, § 2; P.L. 1931, ch. 1781, § 6; G.L. 1938, ch. 275, § 20; P.L. 1940, ch. 890, § 1; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-30-12 ; P.L. 1960, ch. 76, § 13; P.L. 1976, ch. 163, § 1; P.L. 1993, ch. 138, art. 71, § 12; P.L. 1995, ch. 370, art. 40, § 13; P.L. 2001, ch. 77, art. 14, § 5; P.L. 2007, ch. 73, art. 39, § 4; P.L. 2012, ch. 241, art. 9, § 4.

5-30-13. Continuing education requirements — Grounds for refusal, revocation, or suspension of certificates.

  1. The division of professional regulation of the department of health may, after notice and a hearing, in its discretion refuse to grant the certificate provided for in this chapter to any chiropractic physician if the applicant has not furnished satisfactory evidence that he or she has completed, in the twelve (12) months preceding each renewal date, at least twelve (12) hours of instruction in chiropractic-related subjects as conducted by the Chiropractic Society of Rhode Island or the equivalent as approved by the division. Satisfactory evidence of completion of postgraduate study of a type and character, or at an educational session or institution approved by the division, is considered equivalent. Every chiropractic physician licensed to practice within this state, on or before the thirty-first day of October of every third year after the 1980 registration, shall apply to the Rhode Island state board of chiropractic examiners for certification of triennial registration with the board. The division may, after notice and a hearing, in its discretion refuse to grant the certificate provided for in this chapter to any chiropractic physician, if the applicant has not furnished satisfactory evidence to the board of examiners that in the preceding three (3) years the practitioner has completed sixty (60) hours of instruction in chiropractic-related subjects prescribed by the rules and regulations by the board of chiropractic examiners as conducted by the Chiropractic Society of Rhode Island or the equivalent as approved by the division. Satisfactory evidence of completion of postgraduate study of a type and character, or at an educational session or institution approved by the division, is considered equivalent. The division may waive the educational requirements if the division is satisfied that an applicant has suffered a hardship or for any other sufficient reason was prevented from meeting the educational requirements.
  2. The division of professional regulation of the department of health may, after notice and hearing, in its discretion refuse to grant the certificate provided for in this chapter to any chiropractic physician who is not of good moral character, or who has violated any of the laws of the state affecting the ability of any chiropractic physician to practice chiropractic medicine, or who has been guilty of gross unprofessional conduct or conduct of a character likely to deceive or defraud the public, and may, after notice and hearing, revoke or suspend any certificate issued or granted by it for like cause or for any fraud or deception committed in obtaining the certificate. “Gross unprofessional conduct” is defined as including, but not being limited to:
    1. The use of any false or fraudulent statement in any document connected with the practice of chiropractic medicine;
    2. The obtaining of any fee by willful fraud or misrepresentation, either to a patient or insurance plan;
    3. The willful violation of a privileged communication;
    4. Knowingly performing any act that in any way aids or assists an unlicensed person to practice chiropractic medicine in violation of this chapter;
    5. The practice of chiropractic medicine under a false or assumed name;
    6. The advertising for the practice of chiropractic medicine in a deceptive or unethical manner;
    7. The obtaining of a fee as personal compensation or gain for an employer or for a person on a fraudulent representation that a manifestly incurable condition can be permanently cured;
    8. Habitual intoxication or addiction to the use of drugs;
    9. Willful or repeated violations of any of the rules or regulations of the state department of health;
    10. Gross incompetence in the practice of his or her profession;
    11. Repeated acts of immorality or repeated acts of gross misconduct in the practice of his or her profession;
    12. The procuring or aiding or abetting in procuring a criminal abortion; or
    13. A chiropractic physician providing services to a person who is making a claim as a result of a personal injury who charges or collects from the person any amount in excess of the reimbursement to the chiropractic physician by the insurer as a condition of providing or continuing to provide services or treatment.
  3. The division of professional regulation of the department of health shall serve a copy of its decision or ruling upon any person whose certificate has been revoked or refused.

History of Section. G.L. 1923, ch. 159, § 24; P.L. 1927, ch. 1067, § 1; P.L. 1931, ch. 1781, § 9; G.L. 1938, ch. 275, § 24; impl. am. P.L. 1939, ch. 660, § 180; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-30-13 ; P.L. 1962, ch. 84, § 1; P.L. 1977, ch. 264, § 1; P.L. 1979, ch. 171, § 1; P.L. 1993, ch. 71, § 1; P.L. 1999, ch. 465, § 2; P.L. 2021, ch. 400, § 7, effective July 13, 2021; P.L. 2021, ch. 401, § 7, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 7, and P.L. 2021, ch. 401, § 7 enacted identical amendments to this section.

NOTES TO DECISIONS

Jurisdiction.

Director of health and therefore superior court on appeal did not have jurisdiction to revoke certificate for fraud in obtaining certificate where no other fraud was charged or supported by the evidence. Round v. Manning, 69 R.I. 354 , 33 A.2d 212, 1943 R.I. LEXIS 62 (1943).

Collateral References.

Applicability of statute of limitations or doctrine of laches to proceeding to revoke or suspend license to practice medicine. 51 A.L.R. 4th 1147.

Physician’s or other healer’s conduct in connection with defense of or resistance to malpractice action as ground for revocation of license or other disciplinary action. 44 A.L.R.4th 248.

5-30-14. Appeals from director and division.

Any person aggrieved by any decision or ruling of the director of the department of health, or of the division of professional regulation, in regard to any of the provisions of this chapter, may appeal to the superior court in the manner provided for in chapter 35 of title 42.

History of Section. G.L. 1923, ch. 159, § 25; P.L. 1927, ch. 1067, § 1; G.L. 1938, ch. 275, § 25; impl. am. P.L. 1939, ch. 660, § 180; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-30-14 .

NOTES TO DECISIONS

Nature of Review.

An appeal from decision of director of health and superior court involving revocation of chiropractor’s certificate was to be treated the same as a probate appeal and was before the supreme court solely on exceptions set forth in bill. Round v. Manning, 69 R.I. 354 , 33 A.2d 212, 1943 R.I. LEXIS 62 (1943).

Scope of Application.

Appeal to superior court under this section from decision revoking license to practice osteopathy was properly dismissed as this section applies only to practice of chiropractic and physiotherapy. Canzano v. McLaughlin, 68 R.I. 22 , 26 A.2d 350, 1942 R.I. LEXIS 30 (1942).

5-30-15. Disposition of fees — Compensation of board members.

The administrator of the division of professional regulation shall collect all fees for the division under the provisions of this chapter, and shall remit those fees to the general treasurer monthly. Under no circumstances shall any fee be returned. Members of the board of chiropractic examiners shall not be compensated for actual attendance at meetings of the board.

History of Section. G.L. 1923, ch. 159, § 21; P.L. 1927, ch. 1067, § 1; P.L. 1928, ch. 1186, § 1; P.L. 1931, ch. 1781, § 7; G.L. 1938, ch. 275, § 21; impl. am. P.L. 1939, ch. 660, §§ 65, 180; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-30-15 ; P.L. 1983, ch. 253, § 9; P.L. 2005, ch. 117, art. 21, § 9.

5-30-16. Fee splitting.

No chiropractic physician may directly or indirectly receive payment, reimbursement, compensation, or fee for a referral to any clinical laboratory. A violation of the provisions of this section constitutes a misdemeanor and upon conviction may be punished by imprisonment for not longer than one year or a fine of not more than five hundred dollars ($500), or by both fine and imprisonment.

History of Section. P.L. 1975, ch. 114, § 4.

5-30-17. Applicability of chapter 37 of this title to chiropractic medicine.

Except as expressly provided in this chapter, all provisions of chapter 37 of this title apply to the practice of chiropractic medicine, and to persons practicing chiropractic medicine within the state.

History of Section. G.L. 1923, ch. 159, § 26; P.L. 1927, ch. 1067, § 1; G.L. 1938, ch. 275, § 26; G.L. 1956, § 5-30-17 .

5-30-18. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1989, ch. 126, art. 26, § 13; P.L. 1995, ch. 370, art. 40, § 13.

Chapter 31 Dentists and Dental Hygienists [Repealed.]

5-31-1 — 5-31-29. [Repealed.]

Repealed Sections.

This chapter (G.L. 1896, ch. 155, §§ 3-5; P.L. 1897, ch. 470, §§ 1, 2, 4; P.L. 1901, ch. 917, § 1; P.L. 1903, ch. 1113, § 2; P.L. 1907, ch. 1457, § 2; G.L. 1909, ch. 181, §§ 3-5, 8, 10, 11; P.L. 1913, ch. 941, § 1; P.L. 1918, ch. 1636, §§ 2, 3, 8; G.L. 1923, ch. 169, §§ 3-5, 8, 10-14; P.L. 1931, ch. 1744, § 1; P.L. 1931, ch. 1789, § 1; P.L. 1934, ch. 2091, § 1; P.L. 1938, ch. 2588, § 1; G.L. 1938, ch. 279, §§ 3-5, 7, 8, 10-14, 21; P.L. 1939, ch. 717, §§ 1-5; P.L. 1946, ch. 1793, § 1; P.L. 1949, ch. 2278, § 1; P.L. 1953, ch. 3197, § 1; G.L. 1956, §§ 5-31-1 — 5-31-29; P.L. 1960, ch. 76, § 14; P.L. 1966, ch. 281, § 1; P.L. 1973, ch. 16, §§ 1, 2; P.L. 1976, ch. 339, §§ 1-3, 5, 6; P.L. 1979, ch. 76, § 1; P.L. 1980, ch. 294, § 1; P.L. 1981, ch. 225, § 5; P.L. 1982, ch. 196, § 1; P.L. 1983, ch. 253, § 10; P.L. 1984, ch. 187, § 1; P.L. 1986, ch. 251, § 2; P.L. 1986, ch. 458, § 1), concerning dentists and dental hygienists, was repealed by P.L. 1986, ch. 301, § 15, effective July 1, 1987. Sections 5-31-1 4 — 5-31-16 were previously repealed by P.L. 1976, ch. 339, § 4. For present provisions of law, see chapter 31.1 of this title.

Chapter 31.1 Dentists and Dental Hygienists

5-31.1-1. Definitions.

As used in this chapter:

  1. “Board” means the Rhode Island board of examiners in dentistry or any committee or subcommittee of the board.
  2. “Chief of the division of oral health” means the chief of the division of oral health of the Rhode Island department of health who is a licensed dentist possessing a master’s degree in public health or a certificate in public health from an accredited program.
  3. “Dental administrator” means the administrator of the Rhode Island board of examiners in dentistry.
  4. “Dental hygienist” means a person with a license to practice dental hygiene in this state under the provisions of this chapter.
  5. “Dentist” means a person with a license to practice dentistry in this state under the provisions of this chapter.
  6. “Dentistry” is defined as the evaluation, diagnosis, prevention, and/or treatment (nonsurgical, surgical, or related procedures) of diseases, disorders, and/or conditions of the oral cavity, cranio-maxillofacial area, and/or the adjacent and associated structures and their impact on the human body, provided by a dentist, within the scope of his or her education, training, and experience, in accordance with the ethics of the profession and applicable law.
  7. “Department” means the Rhode Island department of health.
  8. “Direct visual supervision” means supervision by an oral and maxillofacial surgeon (with a permit to administer deep sedation and general anesthesia) by verbal command and under direct line of sight.
  9. “Director” means the director of the Rhode Island department of health.
  10. “Healthcare facility” means any institutional health service provider licensed pursuant to the provisions of chapter 17 of title 23.
  11. “Health-maintenance organization” means a public or private organization licensed pursuant to the provisions of chapter 17 of title 23 or chapter 41 of title 27.
  12. “Limited registrant” means a person holding a limited registration certificate pursuant to the provisions of this chapter.
  13. “Nonprofit medical services corporation” or “nonprofit hospital service corporation” or “nonprofit dental service corporation” means any corporation organized pursuant to chapter 19 or 20 of title 27 for the purpose of establishing, maintaining, and operating a nonprofit medical, hospital, or dental service plan.
  14. “Peer-review board” means any committee of a state, local, dental or dental hygiene association or society, or a committee of any licensed healthcare facility, or the dental staff of the committee, or any committee of a dental care foundation or health-maintenance organization, or any staff committee or consultant of a hospital, medical, or dental service corporation, the function of which, or one of the functions of which, is to evaluate and improve the quality of dental care rendered by providers of dental care service or to determine that dental care services rendered were professionally indicated or were performed in compliance with the applicable standard of care or that the cost for dental care rendered was considered reasonable by the providers of professional dental care services in the area and includes a committee functioning as a utilization review committee under the provisions of Pub. L. No. 89-97, 42 U.S.C. § 1395 et seq. (Medicare law), or as a professional standards-review organization or statewide professional standards-review council under the provisions of Pub. L. No. 92-603, 42 U.S.C. § 1301 et seq. (professional standards-review organizations), or a similar committee or a committee of similar purpose, to evaluate or review the diagnosis or treatment of the performance or rendition of dental services performed under public dental programs of either state or federal design.
  15. “Person” means any individual, partnership, firm, corporation, association, trust or estate, state or political subdivision, or instrumentality of a state.
  16. “Practice of dental hygiene.” Any person is practicing dental hygiene within the meaning of this chapter who performs those services and procedures that a dental hygienist has been educated to perform and which services and procedures are, from time to time, specifically authorized by rules and regulations adopted by the board of examiners in dentistry. Nothing in this section is construed to authorize a licensed dental hygienist to perform the following: diagnosis and treatment planning, surgical procedures on hard or soft tissue, prescribe medication, or administer general anesthesia or injectables other than oral local anesthesia. A dental hygienist is only permitted to practice dental hygiene under the general supervision of a dentist licensed and registered in this state under the provisions of this chapter.
    1. Provided, that in order to administer local injectable anesthesia to dental patients, dental hygienists must be under the supervision of a dentist and meet the requirements established by regulation of the board of examiners in dentistry including payment of a permit fee.
    1. (A) “Practice of dentistry.” Any person is practicing dentistry within the meaning of this chapter who:
    2. The board shall promulgate regulations relating to anesthesia. Those regulations shall be consistent with the American Dental Association guidelines for the use of conscious sedation, deep sedation, and general anesthesia in dentistry. Neither the board, nor any regulation promulgated by the board, shall require additional licensing fees for the use of nitrous oxide by dentists. Prior to the adoption of those regulations, dentists shall be permitted to administer anesthesia without restriction. From the proceeds of any fees collected pursuant to the provisions of this chapter, there is created a restricted receipts account that is used solely to pay for the administrative expenses incurred for expenses of administrating this chapter.
    3. No non-dentist who operates a dental facility in the form of a licensed outpatient healthcare center or management service organization may interfere with the professional judgment of a dentist in the practice.
  17. “Telemedicine” has the same meaning as provided in § 27-81-3 .
  1. Uses or permits to be used, directly or indirectly, for profit or otherwise, for himself, herself, or for any other person, in connection with his or her name, the word “dentist” or “dental surgeon,” or the title “D.D.S.” or “D.M.D.,” or any other words, letters, titles, or descriptive matter, personal or not, that directly or indirectly implies the practice of dentistry;
  2. Owns, leases, maintains, operates a dental business in any office or other room or rooms where dental operations are performed, or directly or indirectly is manager, proprietor, or conductor of this business;
  3. Directly or indirectly informs the public in any language, orally, in writing, or in printing, or by drawings, demonstrations, specimens, signs, or pictures that he or she can perform or will attempt to perform, dental operations of any kind;
  4. Undertakes, by any means or method, gratuitously, or for a salary, fee, money, or other reward paid or granted directly or indirectly to himself or herself, or to any other person, to diagnose or profess to diagnose, or to treat or profess to treat, or to prescribe for, or profess to prescribe for, any of the lesions, diseases, disorders, or deficiencies of the human oral cavity, teeth, gums, maxilla, or mandible, and/or adjacent associated structures;
  5. Extracts human teeth, corrects malpositions of the teeth or of the jaws;
  6. Except on the written prescription of a licensed dentist and by the use of impressions or casts made by a licensed and practicing dentist, directly or indirectly by mail, carrier, personal agent, or by any other method, furnishes, supplies, constructs, reproduces, or repairs prosthetic dentures, bridges, appliances, or other structures to be used and worn as substitutes for natural teeth;
  7. Places those substitutes in the mouth and/or adjusts them;
  8. Administers an anesthetic, either general or local, in the course of any of the previously stated dental procedures; or
  9. Engages in any of the practices included in the curricula of recognized dental colleges;

    (B) Provided, that in order to administer any form of anesthesia, other than local, dentists must meet the requirements established by regulation of the board of examiners in dentistry, including training in advanced cardiac life support and pediatric advanced life support, and payment of a permit fee.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 1994, ch. 235, § 1; P.L. 1996, ch. 388, § 1; P.L. 1997, ch. 154, § 1; P.L. 1999, ch. 199, § 1; P.L. 1999, ch. 202, § 1; P.L. 2005, ch. 219, § 1; P.L. 2005, ch. 232, § 1; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1; P.L. 2021, ch. 184, § 3, effective July 6, 2021; P.L. 2021, ch. 199, § 3, effective July 6, 2021.

Compiler's Notes.

P.L. 2021, ch. 184, § 3, and P.L. 2021, ch. 199, § 3 enacted identical amendments to this section.

Repealed Sections.

A former chapter (P.L. 1986, ch. 301, § 16), consisting of §§ 5-31.1-1 5-31.1-37 and concerning dentists and dental hygienists, effective July 1, 1987, was repealed by P.L. 1987, ch. 358, § 1, effective July 1, 1987. Section 2 of P.L. 1987, ch. 358 enacted the present chapter concerning the same subject.

Comparative Legislation.

Dentists:

Mass. Ann. Laws ch. 13, § 19 et seq.; ch. 112, § 43 et seq.

Collateral References.

Physicians’ and surgeons’ liens. 39 A.L.R.5th 787.

5-31.1-2. Board of examiners in dentistry — Members — Compensation — Funds.

  1. There is created within the department of health the Rhode Island board of examiners in dentistry composed of the following members:
    1. Eight (8) licensed dentists, no more than three (3) shall be dental specialists as recognized by the American Dental Association (ADA) and at least one of the three (3) dental specialists shall be an oral and maxillofacial surgeon;
    2. Four (4) public members not associated with the dental field;
    3. Two (2) licensed dental hygienists;
    4. The chief of the office of dental public health, who shall serve as an ex-officio member of the board; and
    5. One certified dental assistant.
  2. The governor shall appoint the members of the board, except that prior to appointing the eight (8) dentist members, the governor may submit a list of all candidates to the appropriate dental societies for comments as to their qualifications. No member shall be appointed for more than two (2) consecutive full terms. A member appointed for less than a full term (originally or to fill a vacancy) may serve two (2) full terms in addition to that part of a full term, and a former member is again eligible for appointment after a lapse of one or more years. All subsequent appointments to the board shall be for a term of three (3) years. Any member of the board may be removed by the governor for neglect of duty, misconduct, malfeasance, or misfeasance in office after being given a written statement of the charges against him or her and sufficient opportunity to be heard on the charges. The director of the department of health shall appoint from the members a chairperson who shall be a dentist duly licensed under the laws of the state of Rhode Island, and a vice-chairperson who shall in the absence of the chairperson exercise all powers of the chairperson, and secretary, who serve for one year or until their successors are appointed and qualified. The board shall meet at least once a month or more often upon the call of the chairperson, director of health, or dental administrator, at any times and places that the chairperson designates.
  3. Members of the board shall not be paid for the discharge of official duties.
  4. The director has the authority to suspend or revoke the license of any dentist or dental hygienist who does not pay the annual fee. Monies shall be received by the department and deposited in the general fund as general revenues.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 1989, ch. 534, § 1; P.L. 1995, ch. 370, art. 40, § 14; P.L. 2001, ch. 260, § 1; P.L. 2001, ch. 273, § 1; P.L. 2005, ch. 117, art. 21, § 10; P.L. 2013, ch. 172, § 1; P.L. 2013, ch. 201, § 1; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1; P.L. 2021, ch. 69, § 1, effective June 23, 2021; P.L. 2021, ch. 70, § 1, effective June 23, 2021.

Compiler's Notes.

P.L. 2021, ch. 69, § 1, and P.L. 2021, ch. 70, § 1 enacted identical amendments to this section.

5-31.1-3. Examining committees.

  1. The chairperson shall appoint two (2) licensed dentist members of the board and one public member to serve as an examining committee for applicants applying for licensure as dentists. The examining committee for dentists shall recommend to the full board, which shall recommend to the director, applicants for licensure to practice dentistry who meet all the requirements for licensure prescribed in this chapter, and other applicable sections and regulations adopted under this chapter.
  2. The chairperson shall also appoint three (3) members of the board, one of whom is a licensed dentist, one of whom is a public member, and one of whom is a licensed dental hygienist, to serve as an examining committee for applicants applying for licensure as dental hygienists. The examining committee for dental hygienists shall recommend to the full board, which shall recommend to the director, applicants for licensure to practice dental hygiene who meet the requirements for licensure prescribed in this chapter, other applicable sections, and the regulations adopted under this chapter.
  3. The members of the examining committees shall serve for a term of one year and may be reappointed.
  4. The chairperson shall also appoint three (3) members of the board, one of whom is a licensed dentist, one of whom is a public member, and one of whom is a certified dental assistant, to serve as an examining committee for applicants applying for licensure as Dental Anesthesia Assistants National Certification Examination (DAANCE)-certified maxillofacial surgery assistants. The examining committee for DAANCE-certified maxillofacial surgery assistants shall recommend to the full board, which shall recommend to the director, applicants for licensure to practice as DAANCE-certified maxillofacial surgery assistants who meet the requirements for licensure prescribed in this chapter, other applicable sections, and the regulations adopted under this chapter.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1.

5-31.1-4. Powers and duties of the board of examiners in dentistry.

The board of examiners in dentistry has the following duties and powers:

  1. To adopt, amend, and rescind any rules and regulations, with the approval of the director of the department of health, that it deems necessary to carry out the provisions of this chapter;
  2. To investigate all complaints and charges of unprofessional conduct against any licensed dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, or limited registrant and to hold hearings to determine whether those charges are substantiated or unsubstantiated;
  3. To direct the director of the department of health to license qualified applicants for licensure;
  4. To appoint one or more dentists or dental hygienists or certified dental assistant to act for the members of the board in investigating the conduct or competence of any licensed dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, or limited registrant;
  5. To direct the director to revoke, suspend, or impose other disciplinary action as to persons licensed or registered under this chapter;
    1. To issue subpoenas and administer oaths in connection with any investigations, hearing, or disciplinary proceedings held under the authority of this chapter;
    2. All subpoenas issued pursuant to this section shall only be issued by a vote of either the investigative committee or the full board of examiners in dentistry:
      1. All subpoenas issued by the board or the investigative committee shall be served by a disinterested party or by a constable authorized by the courts to serve process;
      2. Subpoenas issued by either the investigative committee or the full board of examiners in dentistry shall have a reasonable return date that will allow the recipient an opportunity to review the subpoena, consult with counsel, and prepare a response to the subpoena; and
      3. All subpoenas shall be in compliance with the Rhode Island healthcare confidentiality act.
      4. In the absence of a properly executed patient consent, subpoena requests shall only be made by request of the board to a court of competent jurisdiction that may issue a court order compelling production of confidential healthcare information of a patient;
  6. To take or cause depositions to be taken as needed in any investigation, hearing, or proceeding;
  7. To summon and examine witnesses during any investigation, hearing, or proceeding conducted by the board; and
  8. To adopt and publish, with the prior approval of the director, rules of procedure and other regulations in accordance with the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 1992, ch. 483, § 1; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1.

NOTES TO DECISIONS

Authority of Board.

Trial justice did not err in declaring R.I. Gen. Laws § 5-31.1-11(b)(3) to be directory rather than mandatory. Although the board inspector failed to leave a copy of his report with the dentist before leaving the office, this procedural defect did not deprive the Board of Examiners in Dentistry of the authority to investigate and adjudicate the charges against the dentist; further, no substantial rights of the dentist were prejudiced as he was ultimately given a copy. Begg v. Alexander-Scott, 242 A.3d 23, 2020 R.I. LEXIS 77 (R.I. 2020).

Board of Examiners in Dentistry is not required to utilize its subpoena power to obtain confidential healthcare records in conducting its investigation; in this case, the board made a reasonable request for the full patient files after the dentist had produced the very records he claimed were privileged, and the board was not required by statute or otherwise to subpoena the records. Begg v. Alexander-Scott, 242 A.3d 23, 2020 R.I. LEXIS 77 (R.I. 2020).

5-31.1-5. Power of the director.

The director has the following duties and powers:

  1. With the prior approval of the governor, the director shall appoint a dental administrator who administers and supervises the investigatory and other activities of the board. The dental administrator shall be selected from a list of not less than three (3) names compiled and submitted to the governor by a search committee. The search committee shall consist of four (4) individuals, one being the director or his or her designee, one public member appointed by the board, one appointed by the governor, and one dental member appointed by the board. To be included on the list of potential appointees, an individual must have unanimous approval of the members of the search committee. The dental administrator shall report to the director of the department of health and to the board who shall establish the further duties of the dental administrator;
  2. With the prior approval of the governor, to appoint legal counsel and any assistant legal counsel that is required;
  3. In consultation with the board, to make contracts and arrangements for the performance of administrative and similar services required, or appropriate, or necessary to effectuate the provisions of this chapter;
  4. In consultation with the board, to hire any professional and clerical staff that is necessary to carry out the functions of the board;
  5. To issue, pursuant to any rules and regulations promulgated by the board and approved by the director, all licenses and registrations required by this chapter to qualified applicants;
  6. To deny licenses and registrations, to revoke, suspend, or discipline licensees in accordance with the provisions of this chapter; and
  7. To exercise all other powers specifically conferred upon him or her by virtue of the provisions of this chapter or other applicable sections.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-6. License to practice — Qualifications of applicants — Fee — Reexamination.

  1. Authority to practice dentistry or dental hygiene under this chapter is by a license, issued by the director of the department of health, to any reputable dentist, dental hygienist, or DAANCE-certified maxillofacial surgery assistant who intends to practice dentistry, dental hygiene, or DAANCE-certified maxillofacial surgery assisting in this state, and who meets the requirements for licensure prescribed in this chapter and regulations established by the board or the director.
  2. Applicants for licensure as dentists shall:
    1. Present satisfactory evidence of graduation from a school of dentistry accredited by the American Dental Association Commission on Dental Accreditation, or its designated agency, and approved by the board;
    2. Meet any other requirements that the board or director by regulation establishes; and
    3. Pass in a satisfactory manner any examinations that the board requires.
  3. Applicants for licensure as dental hygienists shall:
    1. Present satisfactory evidence of graduation from a school for dental hygiene accredited by the American Dental Association Commission on Dental Auxiliary Accreditation or its designated agency and approved by the board;
    2. Meet any other requirements that the board or director by regulation establishes; and
    3. Pass in a satisfactory manner any examination that the board requires.
  4. Any dentist and any dental hygienist or DAANCE-certified maxillofacial surgery assistant applying for licensure shall pay an application fee as set forth in § 23-1-54 . Application fees shall in no case be returned. Applicants requiring reexamination for dentistry, for dental hygiene, or for DAANCE-certified maxillofacial surgery assisting shall submit fees as set forth in § 23-1-54 for each reexamination.
    1. Notwithstanding any other provision of law, the board of dental examiners may issue a special license to qualifying dentists and dental hygienists under the terms and conditions set forth in this section and pursuant to requirements that may be set forth in the rules and regulations of the board. The special license may only be issued to a person who is retired from the practice of dentistry or dental hygiene and not currently engaged in such practice either full-time or part-time and has, prior to retirement, maintained full licensure in good standing in dentistry or dental hygiene in any state.
    2. The special licensee shall be permitted to practice dentistry or dental hygiene only in the noncompensated employ of public agencies or institutions, not-for-profit agencies, not-for-profit institutions, nonprofit corporations, or not-for-profit associations that provide dentistry or dental hygiene services only to indigent patients in areas underserved by dentists or dental hygienists or critical need population areas of the state.
    3. The person applying for the special license under this section shall submit to the board a notarized statement from the employing agency, institution, corporation, association, or healthcare program, on a form prescribed by the board, whereby he or she agrees unequivocally not to receive compensation for any dentistry or dental hygiene services he or she may render while in possession of the special license.
    4. Any application fees and all licensure and renewal fees shall be waived for the holder of the special license under this section.
    5. A dentist or dental hygienist licensed pursuant to this section shall comply with the continuing education requirements established by the board of dental examiners in this state.
  5. Applicants for licensure as certified maxillofacial surgical assistants shall:
    1. Present satisfactory evidence of completion of the DAANCE oral surgery assistant training course prepared and administered by the American Association of Oral and Maxillofacial Surgeons or its designated agency and approved by the board;
    2. Meet any other requirements that the board or director by regulation establishes;
    3. Pass, in a satisfactory manner, any examination that the board requires; and
    4. Complete a board of examiners in dentistry-approved advanced cardiac life support course and current certification.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2001, ch. 77, art. 14, § 6; P.L. 2007, ch. 73, art. 39, § 5; P.L. 2007, ch. 181, § 1; P.L. 2007, ch. 204, § 1; P.L. 2012, ch. 241, art. 9, § 5; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1.

5-31.1-6.1. Dental hygienists and dental assistants.

Dentists licensed pursuant to § 5-31.1-6 may supervise and delegate to any dental hygienist licensed pursuant to § 5-31.1-6 , working under the dentist’s general supervision and who is employed on a regular basis by such dentists, any procedures that he or she may deem advisable; including initial oral-health-screening assessments and other procedures specified under section 13 (or any comparable or successor section) of the rules and regulations pertaining to dentists and dental hygienists promulgated from time to time by the department of health, and any such dental hygienists may engage in the practice of dental hygiene under the responsibility of the supervising dentists outside of the dentists’ office in order to render to residents of nursing facilities licensed pursuant to chapter 17 of title 23, whether or not such residents are patients of record of the supervising dentist, without the on-site direct supervision of a dentist licensed pursuant to § 5-31.1-6, those dental services, procedures, and duties that he or she has been educated to perform and that are authorized by the board of examiners in dentistry. Dental hygienists working under general supervision in nursing facilities shall provide documentation of initial oral health screening assessments to the supervising dentist and to the licensed nursing facility for appropriate follow-up assessment and treatment, as needed.

History of Section. P.L. 2004, ch. 292, § 1; P.L. 2004, ch. 475, § 1; P.L. 2006, ch. 325, § 1; P.L. 2006, ch. 448, § 1.

5-31.1-7. Recertification — Continuing dental education.

  1. Effective beginning in the calendar year 2006, every dentist, dental hygienist, or DAANCE-certified maxillofacial surgery assistant licensed to practice within this state, on or before the first day of May in each even numbered year, shall apply to the Rhode Island board of examiners in dentistry for a biennial license with the board. The applicant shall include satisfactory evidence to the board of examiners in dentistry that, in the preceding two years, the practitioner has completed a prescribed course of continuing dental or dental hygiene education established by the appropriate dental or dental hygiene association and approved by rule or regulation of the director or by the board of examiners in dentistry. If the applicant submits satisfactory evidence to the board that he or she has completed a prescribed course of continuing dental education, dental hygiene, or DAANCE-certified maxillofacial surgery assisting education and has complied with the provisions of § 5-31.1-6 , the board shall issue the applicant a license registration for a two-year (2) period commencing on July 1. The board may extend for only one six-month (6) period those educational requirements if the board is satisfied that the applicant has suffered hardship that prevented meeting the educational requirement. No license to practice dentistry or dental hygiene in this state shall be refused, nor any license suspended or revoked, except as:
    1. Provided for in this chapter; and
    2. For failure to provide satisfactory evidence of continuing dental, dental hygiene, or DAANCE-certified maxillofacial surgery assisting education as provided for in this section.
  2. Licensees shall apply for recertification by submitting evidence of continuing dental, dental hygiene, or DAANCE-certified maxillofacial surgery assisting education on a biennial basis. Application for biennial registration shall continue as provided in this section and § 5-31.1-21 .

History of Section. P.L. 1987, ch. 358, § 2; P.L. 1992, ch. 483, § 1; P.L. 2005, ch. 219, § 1; P.L. 2005, ch. 232, § 1; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1.

5-31.1-8. Refusal of licensure.

  1. The director, upon recommendation from the board, after notice and hearing in accordance with the procedures prescribed in this chapter, shall refuse to grant the original license provided for in this chapter to any dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, and/or applicant who is not of good moral character; who does not meet the requirements for licensure prescribed in this chapter and regulations established by the board or director; who has violated any law affecting the ability of any dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, and/or applicant to practice dentistry, dental hygiene, or DAANCE-certified maxillofacial surgery assisting; or who has been found guilty in another state of conduct that if committed in Rhode Island, would constitute unprofessional conduct as defined in § 5-31.1-10 and regulations adopted under this chapter.
  2. The director shall serve a copy of his or her decision or ruling upon any person whose original certificate has been refused.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1; P.L. 2021, ch. 400, § 8, effective July 13, 2021; P.L. 2021, ch. 401, § 8, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 8, and P.L. 2021, ch. 401, § 8 enacted identical amendments to this section.

5-31.1-9. Immunity from suit.

  1. The director of the department of health, dental administrator, board members, their agents or their employees are immune from suit in any action, civil or criminal, based upon any disciplinary proceeding or other official act performed in good faith in the course of their duties under this chapter. There is no civil liability on the part of, or cause of action of any nature against, the board, director, dental administrator, their agents, or their employees or against any organization or its members, peer-review board or its members, or other witnesses and parties to board proceedings for any statements made by them in any reports, communications, or testimony concerning an investigation of the conduct or competence of a licensed dentist, dental hygienist, or limited registrant.
  2. No licensed healthcare provider, dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, or limited registrant shall discharge, threaten, or discriminate against an employee, staff member, or any other person for making a report to, giving testimony to, or providing any other communication to the board of examiners in dentistry, a peer-review organization, or any appropriate supervisory personnel concerning the unprofessional conduct or incompetence or negligence of a dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, or limited registrant; provided, that the report, testimony, or other communication was made in good faith.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1.

Collateral References.

Liability of orthodontist for malpractice. 81 A.L.R.4th 632.

5-31.1-10. Unprofessional conduct.

The term “unprofessional conduct” as used in this chapter includes, but is not limited to, the following items or any combination of them and may be defined by regulations established by the board with the approval of the director:

  1. Fraudulent or deceptive procuring or use of a license or limited registration;
  2. All advertising of dental, dental hygiene, or DAANCE-certified maxillofacial surgery assisting business that is intended, or has a tendency, to deceive the public or a dentist advertising as a specialty in an area of dentistry unless the dentist:
    1. Is a diplomat of or a fellow in a specialty board accredited or recognized by the American Dental Association; or
    2. Has completed a postgraduate program approved by the Commission on Dental Accreditation of the American Dental Association;
  3. Conviction of a felony; conviction of a crime arising out of the practice of dentistry, dental hygiene, or DAANCE-certified maxillofacial surgery assisting;
  4. Abandonment of a patient;
  5. Dependence upon controlled substances, habitual drunkenness, or rendering professional services to a patient while the dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, or limited registrant is intoxicated or incapacitated by the use of drugs;
  6. Promotion by a dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, or limited registrant of the sale of drugs, devices, appliances, or goods or services provided for a patient in a manner as to exploit the patient for the financial gain of the dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, or limited registrant;
  7. Immoral conduct of a dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, or limited registrant in the practice of dentistry, dental hygiene, or DAANCE-certified maxillofacial surgery assisting;
  8. Willfully making and filing false reports or records in the practice of dentistry or dental hygiene;
  9. Willful omission to file or record, or willfully impeding or obstructing a filing or recording, or inducing another person to omit to file or record dental or other reports as required by law;
  10. Failure to furnish details of a patient’s dental record to succeeding dentists or dental care facility upon proper request pursuant to this chapter;
  11. Solicitation of professional patronage by agents or persons or profiting from acts of those representing themselves to be agents of the licensed dentist, dental hygienist, or limited registrant;
  12. Division of fees, or agreeing to split or divide the fees, received for professional services for any person for bringing to or referring a patient;
  13. Agreeing with clinical or bioanalytical laboratories to accept payments from those laboratories for individual tests or test series for patients, or agreeing with dental laboratories to accept payment from those laboratories for work referred;
  14. Willful misrepresentation in treatments;
  15. Practicing dentistry with an unlicensed dentist or practicing dental hygiene with an unlicensed dental hygienist or practicing DAANCE-certified maxillofacial surgery assisting with an unlicensed DAANCE-certified maxillofacial surgery assistant, except in an accredited training program, or with a dental assistant in accordance with the rules and regulations of the board or aiding or abetting those unlicensed persons in the practice of dentistry or dental hygiene;
  16. Gross and willful overcharging for professional services, including filing of false statements for collection of fees for which services are not rendered, or willfully making or assisting in making a false claim or deceptive claim or misrepresenting a material fact for use in determining rights to dental care or other benefits;
  17. Offering, undertaking, or agreeing to cure or treat disease by a secret method, procedure, treatment, or medicine;
  18. Professional or mental incompetence;
  19. Incompetent, negligent, or willful misconduct in the practice of dentistry, dental hygiene, or DAANCE-certified maxillofacial surgery assisting, including the rendering of unnecessary dental services and any departure from, or the failure to conform to, the minimal standards of acceptable and prevailing dental, dental hygiene, or DAANCE-certified maxillofacial surgery assisting practice in his or her area of expertise as is determined by the board. The board does not need to establish actual injury to the patient in order to adjudge a dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, or limited registrant guilty of the previously named misconduct;
  20. Failure to comply with the provisions of chapter 4.7 of title 23;
  21. Revocation, suspension, surrender, or limitation of privilege based on quality of care provided or any other disciplinary action against a license to practice dentistry, dental hygiene, or DAANCE-certified maxillofacial surgery assisting in another state or jurisdiction, or revocation, suspension, surrender, or other disciplinary action as to membership on any dental staff or in any dental or professional association or society for conduct similar to acts or conduct that would constitute grounds for action as prescribed in this chapter;
  22. Any adverse judgment, settlement, or award arising from a dental-liability claim related to acts or conduct similar to acts or conduct that would constitute grounds for action as defined in this chapter or regulations adopted under this chapter;
  23. Failure to furnish the board, its dental administrator, investigator, or representatives, information legally requested by the board;
  24. Violation of any provision or provisions of this chapter or the rules and regulations of the board or any rules and regulations promulgated by the director or of an action, stipulation, or agreement of the board;
  25. Cheating on or attempting to subvert the licensing examination;
  26. Violating any state or federal law or regulation relating to controlled substances;
  27. Failure to maintain standards established by peer-review boards, including, but not limited to, standards related to proper utilization of services, and use of nonaccepted procedure and/or quality of care;
  28. Malpractice as defined in § 5-37-1 .
  29. No person licensed to practice dentistry in the state of Rhode Island may permit a non-dentist who operates a dental facility in the form of a licensed outpatient healthcare center or management service organization to interfere with the professional judgment of the dentist in the practice.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 1993, ch. 310, § 1; P.L. 1999, ch. 199, § 1; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1; P.L. 2021, ch. 400, § 8, effective July 13, 2021; P.L. 2021, ch. 401, § 8, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 8, and P.L. 2021, ch. 401, § 8 enacted identical amendments to this section.

Collateral References.

Conviction of unrelated crime: Physician’s or other healer’s conduct, or conviction of offense not directly related to medical practice, as ground for disciplinary action. 34 A.L.R.4th 609.

Liability for dental malpractice in provision or fitting of dentures. 77 A.L.R.4th 222.

Physician’s or other healer’s conduct in connection with defense of or resistance to malpractice action as ground for revocation of license or other disciplinary action. 44 A.L.R.4th 248.

Wrongful or excessive prescription of drugs as ground for revocation or suspension of physician’s or dentist’s license to practice. 19 A.L.R.6th 577.

5-31.1-11. Complaints.

  1. Any person, firm, corporation, or public officer may submit a written complaint to the board charging the holder of a license to practice dentistry or dental hygiene or a limited registrant with unprofessional conduct, specifying the grounds for the charge.
  2. The board shall review all complaints and, in those instances where no referral is made to an investigating committee, the board of examiners in dentistry shall make a written finding of facts with regard to the complaint. In conducting an investigation of such complaints that requires an inspection of a dental office:
    1. Either the investigative committee or the full board of examiners in dentistry shall make such finding and it must be evidenced by recorded minutes showing the vote to conduct an inspection;
    2. The scope and manner of conducting any such inspection shall be reasonably related to the written complaint received. Any dentist(s) whose practice is the subject of such inspection shall be provided by either the investigative committee or the full board with a copy of the complaint or a written summary of all pertinent allegations prior to or at the commencement of the inspection;
    3. At the conclusion of the inspection and prior to leaving the dental office premises the board inspectors shall provide the dentist whose office has been inspected with a copy of the completed inspection form, noting areas of deficiency or follow-up;
    4. Unless there is a real potential of imminent, unreasonable harm to patients or staff, the dentist shall have ten (10) days to remedy any deficiencies found during the inspection; and
    5. All inspections shall be carried out so as not to interfere with direct patient care.
  3. All complaints considered by the board or an investigating committee of the board shall be reported within six (6) months of the receipt of the complaint unless the board, on a case-by-case basis, for good cause shown, in writing, extends the time for consideration; provided, that failure to report does not divest the board of its jurisdiction to pursue the rights and remedies established in this chapter.
  4. If the board determines that the complaint merits consideration, or if the board, on its own initiative without a formal complaint, has reason to believe that any holder of a license or limited registration to practice dentistry or of a license to practice dental hygiene or of a license to practice DAANCE-certified maxillofacial surgery assisting may be guilty of unprofessional conduct, the chairperson shall designate no less than two (2) members of the board, at least one of whom is a public member, to serve as a committee to investigate, and report upon the charges to the board.

    If the complaint relates to a dentist, one member of the committee shall be licensed as a dentist. If the complaint relates to a dental hygienist, one member of the committee shall be licensed as a dental hygienist. If the complaint relates to a DAANCE-certified maxillofacial surgery assistant, one member of the committee shall be licensed as a dental hygienist or certified dental assistant.

  5. Investigations shall remain confidential and all initial hearings, investigatory hearings, and full hearings before the board shall remain confidential.
  6. In the event that a hearing takes place before the hearing committee of the board, all decisions of the board shall present conclusions of fact and conclusions of law applicable to the decision that it has rendered.
  7. The board shall make public all decisions, including findings of fact and conclusions of law, that call for any sanction against a license holder as prescribed in § 5-31.1-17 .
  8. Following the investigation, the committee shall present its evaluations and recommendations to the board.
  9. The board shall review the committee’s findings to determine whether to take further action, but no member of the board who participated in the investigation may participate in this review or any subsequent hearing or action taken by the board. The hearing committee shall consist of the remaining members of the board. Four (4) members of the hearing committee constitute a quorum for the transaction of business. The chairperson of the board shall preside over the hearing.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1.

NOTES TO DECISIONS

Inspection Report.

Requirement under this section for the board inspector to leave a copy of the inspection form before leaving the dental office is directory; the notice provision is directed at a representative of the state, and a public official’s failure to adhere to the notice provision does not carry a sanction in the statutory scheme. Begg v. Alexander-Scott, 242 A.3d 23, 2020 R.I. LEXIS 77 (R.I. 2020).

Trial justice did not err in declaring R.I. Gen. Laws § 5-31.1-11(b)(3) to be directory rather than mandatory. Although the board inspector failed to leave a copy of his report with the dentist before leaving the office, this procedural defect did not deprive the Board of Examiners in Dentistry of the authority to investigate and adjudicate the charges against the dentist; further, no substantial rights of the dentist were prejudiced as he was ultimately given a copy. Begg v. Alexander-Scott, 242 A.3d 23, 2020 R.I. LEXIS 77 (R.I. 2020).

Collateral References.

Necessity of expert evidence in proceeding for revocation or suspension of license of physician, surgeon, or dentist. 74 A.L.R.4th 969.

5-31.1-12. Specification of charges.

When the board determines, based on the report of the investigating committee, that action is required, or the accused requests a hearing on allegations of unprofessional conduct, a specification of charges of unprofessional conduct against the licensee or limited-registration holder shall be prepared by the investigating committee and a copy served upon the accused, together with notice of the hearing, as provided in § 5-31.1-13 . A hearing on the charges will then be scheduled for a hearing before the hearing committee of the board.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-13. Time and notice of hearing.

The time of the hearing shall be fixed by the hearing committee of the board as soon as is practical. The hearing committee of the board shall issue a notice of a hearing of the charges, which notice shall specify the time and place of the hearing and shall notify the accused that he or she may file with the hearing committee of the board a written response within twenty (20) days of the date of service. The notice shall also notify the accused that a stenographic record of the proceedings will be kept; that he or she will have the opportunity to appear personally and to have counsel present, with the right to produce witnesses and evidence in his or her own behalf; to cross-examine witnesses; to examine documentary evidence that may be produced against him or her; and to have subpoenas issued by the hearing committee of the board.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-14. Subpoenas — Contempt.

Subpoenas may be issued by the board or the board’s constituted committees to compel the production of documents or other written records or the attendance and testimony of witnesses at any investigation or hearing. The board shall also issue subpoenas at the request and on behalf of the accused. In the event that any person refuses to obey a subpoena or answer any proper question put to him or her during the hearing or proceeding, the superior court has jurisdiction, upon application by the board, to issue to that person an order requiring him or her to appear before the board or its hearing committee; to produce evidence there if ordered; or there to give testimony concerning the matter under investigation. Any failure to obey that order of the court may be punished by the court as civil contempt.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-15. Report of hearing.

After holding a hearing, the hearing committee of the board shall make a written report of its findings of fact, conclusions of law, and disciplinary order, if any.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-16. Decision of the board.

If a majority of the members of the board, sitting as the hearing committee, vote in favor of finding the accused guilty of unprofessional conduct as specified in the charges, the board shall prepare written findings of fact and law in support of its conclusion. The board shall immediately transmit its findings, together with an order as to the sanction to be imposed upon the accused, to the director who, as soon as practicable, shall order appropriate action be taken in accordance with the order of the board. If the accused is found not guilty, the board shall immediately issue an order dismissing the charges.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-17. Sanctions.

If the accused is found guilty of unprofessional conduct as defined in § 5-31.1-10 , the director, at the direction of the board, shall impose one or more of the following conditions:

  1. Administer a reprimand;
  2. Suspend, limit, or restrict his or her license or limited registration to practice dentistry or license to practice dental hygiene or license to practice DAANCE-certified maxillofacial surgery assisting;
  3. Require him or her to serve a period of probation subject to certain conditions and requirements including, where appropriate, sanctions or restitution;
  4. Revoke, indefinitely, his or her license or limited registration to practice dentistry or license to practice dental hygiene or license to practice DAANCE-certified maxillofacial surgery assisting;
  5. Require him or her to submit to the care, counseling, or treatment of a physician or program acceptable to the board;
  6. Require him or her to participate in a program of continuing dental, dental hygiene, or DAANCE-certified maxillofacial surgery assisting education in the area or areas in which he or she has been judged deficient;
  7. Require him or her to practice under the direction of a dentist in a public institution, public or private healthcare program, or private practice for a period of time specified by the board;
  8. Assess against the dentist, dental hygienist, or DAANCE-certified maxillofacial surgery assistant the administrative costs of the proceedings instituted against the dentist, dental hygienist, or DAANCE-certified maxillofacial surgery assisting under this chapter; provided, that the assessment does not exceed ten thousand dollars ($10,000); or
  9. Any other condition, conditions, or restrictions deemed appropriate under the circumstances.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1.

NOTES TO DECISIONS

Sanctions.

It is undoubtedly within the power of the Board of Examiners in Dentistry to suspend and limit the practice of dentistry in an appropriate case, as here; the board relied upon competent evidence to support its decision to suspend the dentist’s license for two years and require him to pay for a monitoring service and submit quarterly reports, as his record-keeping was found to be deficient both in 2014 and in 2016 and he refused to furnish the board with information it had legally requested. Begg v. Alexander-Scott, 242 A.3d 23, 2020 R.I. LEXIS 77 (R.I. 2020).

5-31.1-18. Appeal from the decision of the director of the department of health.

  1. Any person whose license or limited registration to practice dentistry or license to practice dental hygiene or license to practice DAANCE-certified maxillofacial surgery assisting has been revoked or suspended by the board and/or director or is aggrieved by the decision of the board and/or director shall have the right of judicial review of the board’s and director’s decision. That review is initiated by serving on the director a notice of appeal and filing this notice of appeal with a complaint in accordance with the Rules of Civil Procedure in the superior court within thirty (30) days after the decision of the director.
  2. The director shall, within twenty (20) days after the service of the notice of appeal, transmit to the clerk of the superior court to which the appeal is taken a transcript of the record of the board, certified under the seal of the board, together with a certified copy of the board’s written findings, all of which is admissible as evidence.
  3. The findings of the board and/or director are final and conclusive, subject to review in the superior court pursuant to the administrative procedures act, chapter 35 of title 42. Any appeal taken to the superior court has precedence on the calendar, is considered an emergency matter and, when practicable, shall be heard in any event not later than thirty (30) days from the date of appeal. There is no stay pending this appeal of any sanction imposed by the director unless it is determined that the matter cannot be placed on the court’s docket within the specified time. Except as provided in this chapter, appeals follow the procedures set forth in the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1.

5-31.1-19. Grounds for discipline without hearing.

The director may, temporarily, suspend the license of a dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, or limited registrant without a hearing if the director finds that evidence in his or her possession indicates that a dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, or limited registrant continuing in practice would constitute an immediate danger to the public. In the event that the director temporarily suspends the license of a dentist, dental hygienist, DAANCE-certified maxillofacial surgery assistant, or limited registrant without a hearing, a hearing by the board must be held within ten (10) days after the suspension has occurred.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1.

5-31.1-20. Reports relating to professional conduct and capacity — Regulations — Confidentiality — Immunity.

  1. The board, with the approval of the director, may adopt regulations requiring any person, including, but not limited to, corporations, healthcare facilities, health-maintenance organizations, organizations, federal, state, or local governmental agencies, or peer-review boards to report to the board any conviction, determination, or finding that a licensed dentist, dental hygienist, or DAANCE-certified maxillofacial surgery assistant has committed unprofessional conduct as defined by § 5-31.1-10 , or to report information that indicates that a licensed dentist, dental hygienist, or DAANCE-certified maxillofacial surgery assistant may not be able to practice dentistry, dental hygiene, or DAANCE-certified maxillofacial surgery assisting with reasonable skill and safety to patients as the result of any mental or physical condition. The regulations include the reporting requirements prescribed in subsections (b)(1), (b)(2), and (b)(3) of this section.
  2. The following reports, in writing, shall be filed with the board:
    1. Every insurer providing professional liability insurance to a dentist, dental hygienist, or DAANCE-certified maxillofacial surgery assistant licensed under the provisions of this chapter must send a complete report to the board as to any formal notice of any claim, settlement of any claim or cause of actions, or final judgment rendered in any cause of action for damages for death or personal injury caused by a dentist’s, dental hygienist’s, or DAANCE-certified maxillofacial surgery assistant’s negligence, error, or omission in practice or his or her rendering of unauthorized professional services. This report shall be sent within thirty (30) days after service of the complaint or notice, settlement, judgment, or arbitration award on the parties. All of those reports shall present an in-depth, factual summary of the claim in question.
    2. All hospital and licensed healthcare facilities including, but not limited to, nursing homes and health-maintenance organizations and the director of the department of health must report to the board, within thirty (30) days of the action, any action, disciplinary or otherwise, taken for any reason, that limits, suspends, or revokes a dentist’s or dental hygienist’s privilege to practice or requires supervision of a dentist, either through formal action by the institution or faculty or through any voluntary agreement with the dentist.
    3. Within ten (10) days after a judgment by a court of this state that a dentist or dental hygienist licensed under the provisions of this chapter has been convicted of a crime or is civilly liable for any death or personal injury caused by his or her negligence, error, or omission in his or her practice or his or her rendering unauthorized professional services, the clerk of the court that rendered the judgment shall report the judgment to the board.
  3. The board shall report any changes of privileges of which it is aware to the board of trustees or other appropriate body of all licensed hospitals and health-maintenance organizations within thirty (30) days.
  4. The contents of any report file are confidential and exempt from public disclosure, except that it may be reviewed:
    1. By the licensee involved, or his or her counsel or authorized representative, who may submit any additional exculpatory or explanatory statements or other information, which statements or other information are included in the file; or
    2. By the dental administrator, a representative of the board, or an investigator for the board, who has been assigned to review the activities of a licensed dentist, dental hygienist, or DAANCE-certified maxillofacial surgery assistant.
  5. Upon determination that a report is without merit, the board’s records may be purged of information relating to the report.
  6. If any person refuses to furnish a required report, the board may petition the superior court of any county in which that person resides or is found, and the superior court shall issue to the court’s person an order to furnish the required report. Any failure to comply with that order constitutes civil contempt.
  7. Every individual, dental association, dental society, dental hygiene association, dental auxiliary association, hospital, healthcare facility, health-maintenance organizations, peer-review board, dental service bureau, health insurance carrier or agent, professional standards review organization, and agency of the federal, state, or local government is immune from civil liability, whether direct or derivative, for providing information to the board in good faith pursuant to this statute or the regulations outlined in subsection (a) or requirements of subsection (b).
  8. Nondisclosure agreements are prohibited insofar as they forbid parties from making reports regarding competency and/or unprofessional conduct to the board of examiners in dentistry.
  9. The board of examiners in dentistry, with the approval of the director, shall promulgate rules and regulations establishing standards for hospital or health-maintenance organization supervision of dentists or dental hygienists by peer-review committees. Those regulations, including without limiting their generality, shall require that each hospital or health-maintenance organization report annually to the board the activities, findings, studies, and determination of its peer-review committees.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 1997, ch. 30, art. 28, § 2; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1.

5-31.1-21. Biennial registration.

  1. Effective beginning in the calendar year 2006, on or before the first day of May in each even-numbered year, the board shall mail an application for biennial registration to every person to whom a license to practice dentistry, dental hygiene, or DAANCE-certified maxillofacial surgery assisting in this state has been granted by the constituted licensing authority in the state. Every licensed person who intends to engage in the practice of his or her profession during the ensuing two (2) years shall register his or her license by filing with the board that application, executed together with any registration form and fee that is established by regulation by the director, on or before the first day of June in each even-numbered year. Upon receipt of that application and fee, the board shall issue a registration certificate, effective July 1 and expiring two (2) years following June 30, and that registration certificate shall render its holder a registered practitioner of dentistry or dental hygiene for that registration period.
  2. The registration certificate of all dentists, dental hygienists, or DAANCE-certified maxillofacial surgery assistants whose renewals, accompanied by the prescribed fee, are not filed on or before the first day of July automatically expire. The board may, in its discretion and upon the payment by the dentist, dental hygienist, or DAANCE-certified maxillofacial surgery assistant of the current registration fee, plus an additional fee as set forth in § 23-1-54 , reinstate any certificate expired under the provisions of this section. All unexpended monies in the account of the board of dentistry are transferred to the new board of dentistry as created by this chapter as of June 2, 1988.
  3. Dentists, dental hygienists, and DAANCE-certified maxillofacial surgery assistants not intending to practice in this state may request, on a biennial basis, to be placed on inactive status. Those requests must be made, in writing, to the dental administrator and must be accompanied by fees as set forth in § 23-1-54 . Persons on inactive status may be reinstated by paying the current, annual-registration fee and must meet any requirements established by this chapter and as are further prescribed by the rules and regulations.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 1988, ch. 169, § 1; P.L. 1993, ch. 310, § 1; P.L. 2001, ch. 77, art. 14, § 6; P.L. 2005, ch. 219, § 1; P.L. 2005, ch. 232, § 1; P.L. 2007, ch. 73, art. 39, § 5; P.L. 2012, ch. 241, art. 9, § 5; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1.

5-31.1-22. Limited registrations.

An applicant for limited registration under this chapter who furnishes the board with satisfactory proof that the applicant is eighteen (18) years of age or older and of good moral character, that the applicant has graduated from a dental school accredited by the American Dental Association Commission on Dental Accreditation or its designated agency and approved by the board, and that the applicant has been appointed an intern, resident, fellow, or dental officer in a hospital or other institution maintained by the state, or by a city or town, or in a hospital or clinic that is incorporated under the laws of this state or in a clinic that is affiliated with a hospital licensed by the department of health, or in an outpatient clinic operated by the state, may, upon the payment as set forth in § 23-1-54 , be registered by the board as a hospital dental officer for any time that the board prescribes; but that limited registration entitles the applicant to practice dentistry in the hospital or other institution designated on his or her certificate of limited registration, or outside that hospital or other institution for the treatment, under the supervision of one of its dental officers who is a licensed dentist, in the state of persons accepted by it as patients, or in any hospital, institution, clinic, or program affiliated for training purposes with the hospital, institution, or clinic designated on this certificate, which affiliation is approved by the board, and in any case under regulations established by that hospital, institution, or clinic. Each hospital, institution, or clinic shall annually submit to the board a list of training programs that comply with the terms of this section. Limited registration under this section may be revoked at any time by the board. The board and/or the director may promulgate any rules and regulations that it deems necessary to carry out the provisions of this section.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2001, ch. 77, art. 14, § 6; P.L. 2007, ch. 73, art. 39, § 5; P.L. 2012, ch. 241, art. 9, § 5.

5-31.1-23. Limited registration — Academic faculty — Fees.

  1. Notwithstanding any other provisions of this chapter, a dentist of noteworthy and recognized professional attainment, who is a clearly outstanding dentist and who has been offered by the dean of a medical school, dental school, or school of dental hygiene in this state a full-time academic appointment, is eligible for a limited registration while serving on the academic staff of the medical school, dental school, or school of dental hygiene. Upon recommendation of the dean of an accredited school of medicine, dentistry, or school of dental hygiene in this state, the board in its discretion, after being satisfied that the applicant is a graduate of a foreign dental school and a person of professional rank whose knowledge and special training will benefit that medical school, dental school, or school of dental hygiene may issue to that dentist a limited registration to engage in the practice of dentistry to the extent that the practice is incidental to a necessary part of his or her academic appointment and then only in the hospital or hospitals and outpatient clinics connected with the medical school, dental school, or school of dental hygiene.
  2. Except to the extent authorized by this section, the registrant shall not engage in the practice of dentistry or receive compensation for it, unless he or she is issued a license to practice dentistry in accordance with the provisions of this chapter. The registration is valid for a period of not more than one year expiring on the 30th day of June following its initial effective date but may be renewed annually. The registration shall automatically expire when the holder’s relationship with the medical school, dental school, or school of dental hygiene is terminated.
  3. The application fee for the registration authorized and for initial annual renewal under this section is as set forth in § 23-1-54 . Subsequently, fees are as promulgated by the director.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2001, ch. 77, art. 14, § 6; P.L. 2007, ch. 73, art. 39, § 5; P.L. 2012, ch. 241, art. 9, § 5.

5-31.1-24. Violations — Penalties.

Unless another penalty is provided by the laws of this state, any person who violates any provision of this chapter or any rule or regulation adopted under this chapter, shall upon conviction, be punished by a fine of not more than one thousand dollars ($1,000) or by imprisonment for not more than one year, or both.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-25. Injunction of violations.

When it appears to the director and/or board that any person is violating any of the provisions of this chapter, the director and/or board may cause to be instituted an action to enjoin that violation in a court of competent jurisdiction and the court may restrain, and/or enjoin any person, firm, corporation, or association from violating any of the provisions of this chapter without regard to whether proceedings have been or may be instituted before the board or whether criminal proceedings have been or may be instituted.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-26. Severability.

If any provision of this chapter or any rule or regulation made under this chapter, or the application of this chapter to any person or circumstances is held invalid by a court of competent jurisdiction, the remainder of this chapter, rule, or regulation, and the application of that provision to other persons or circumstances, is not affected.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-27. Dental peer review.

  1. Notwithstanding other provisions of this chapter, healthcare providers may make confidential healthcare information available to dental peer-review committees without authorization.
  2. Confidential healthcare information before a dental peer-review committee remains strictly confidential, and any person found guilty of the unlawful disclosure of that information is subject to the penalties provided in this chapter.
  3. Except as provided in this section, the proceedings and records of dental peer-review committees are not subject to discovery or introduction into evidence. No person who was in attendance at a meeting of that committee is permitted or required to testify as to any matters presented during the proceedings of the committee or as to any findings, recommendations, evaluations, opinions, or other actions of the committee or any members of the committee. Confidential healthcare information discoverable or admissible from original sources is not to be construed as immune from discovery or use in any proceeding merely because that information was presented during proceedings before the committee, nor is a member of the committee or other person appearing before it to be prevented from testifying as to matters within his or her knowledge and in accordance with the other provisions of this chapter, but that witness cannot be questioned about his or her testimony or other proceedings before the dental peer-review committee or about opinions formed by him or her as a result of those proceedings.
  4. The provisions of subsection (c) limiting discovery and testimony do not apply in any legal action brought by a dental peer-review committee to restrict or revoke a dentist’s hospital staff privilege, or his or her license to practice dentistry, or to cases where a member of the dental peer-review committee or the legal entity that formed this committee or within which that committee operates is sued for actions taken by that committee, provided that in this legal action personally identifiable confidential healthcare information may not be used without written authorization of that person or his or her authorized representative or upon court order.
  5. Nothing in this chapter limits the authority, which may be provided by law, of the board of examiners in dentistry to require a dental peer-review committee to report to it any disciplinary actions or recommendations of the committee, or to transfer to it records of the committee’s proceedings or actions, including confidential dental information, or restrict or revoke a dentist’s license to practice dentistry; provided, that in that legal action, personally identifiable confidential healthcare information may not be used without written authorization of this person or his or her authorized representative or upon court order.
  6. No member of a dental peer-review committee nor the legal entity that formed or within which that committee operates nor any person providing information to the committee is criminally or civilly liable for the performance of any duty, function, or activity of that committee or based upon providing information to the committee; provided, that the action is without malice and is based upon a reasonable belief that the action is warranted.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-28. Hospital disciplinary powers.

  1. The board of trustees of a hospital or other appropriate authority licensed pursuant to the laws of the state is authorized to suspend, deny, revoke, or curtail the staff privileges of any staff member for good cause which includes the grounds specified in § 5-31.1-10 for unprofessional conduct; provided, that the procedures for those actions comply with the procedures, if any, that are outlined by the joint commission for accreditation of hospitals.
  2. There is no liability on the part of and no cause of action of any nature arises against any hospital, hospital board of trustees, or any hospital medical staff committee, where instituted by hospital bylaws, for any action taken in good faith in carrying out the provisions of this chapter.
  3. Any disciplinary action against a dentist or dental hygienist that involves loss of privileges, including for administrative reasons, shall promptly be reported to the board of examiners in dentistry by the hospital.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-29. Privileges and immunities for peer review activities.

  1. Neither the proceedings nor the records of peer-review boards as defined in § 5-31.1-1 are subject to discovery or admissible in evidence in any case save litigation arising out of the imposition of sanctions upon a dentist or dental hygienist. Any imposition or notice of a restriction of privileges or a requirement of supervision imposed on a dentist or dental hygienist for unprofessional conduct as defined in § 5-31.1-1 0 is subject to discovery and admissible in any proceeding against that dentist or dental hygienist for performing or against any dental-care facility or dental-care provider that allows the dentist to perform the dental procedures that are the subject of the restriction or supervision during the period of the restriction or supervision or subsequent to that period. Nothing contained in this section applies to records made in the regular course of business by a hospital or other provider of healthcare information. Documents or records available from original sources are not to be construed as immune from discovery or use in any civil proceedings merely because they were presented during the proceedings of the committee.
  2. There is no monetary liability on the part of, and no cause of action for damages arising against, any member of an appointed peer-review board operated pursuant to written bylaws, for any act or proceeding undertaken or performed within the scope of the functions of that board.
  3. There is no monetary liability on the part of, and no cause of action for damages arising against, any person on account of the communication of information in the possession of the person to any peer-review board or the board of examiners in dentistry when the communication is intended to aid in the evaluation of the qualifications, fitness, or character of a practitioner of dentistry or dental hygiene and does not represent as true any matter not reasonably believed to be true.
  4. Any peer-review processes authorized by statute and carried out in good faith have the benefit of the state action exemption to the state antitrust law.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-30. Licensure required — Dental assistants excepted.

No person shall perform any act that constitutes the practice of dentistry in this state unless that person is licensed under the provisions of this chapter as a dentist or a dental hygienist, or unless that person performs limited auxiliary dental services, procedures, and duties as a dental assistant as provided by this chapter. The board of examiners in dentistry shall develop rules and procedures to implement a listing of all dental assistants practicing in the state.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2013, ch. 172, § 2; P.L. 2013, ch. 201, § 2.

5-31.1-31. Dental assistant — Definition — Practices allowed.

  1. As used in this chapter, a “dental assistant” is any person not licensed under the provisions of this chapter who performs dental services, procedures, or duties in aid of a licensed and registered dentist.
  2. No dental assistant shall perform any service, procedure, or duty that constitutes the practice of dentistry unless authorized by rules and regulations adopted by the board of examiners in dentistry, and unless that dental service, procedure, or duty is performed under the supervision of a dentist licensed and registered in this state. The board of examiners in dentistry shall establish any classifications of dental assistants that are recognized by the American Dental Association, American Dental Assistants Association, and the American Association of Oral and Maxillofacial Surgeons, and to each class the board shall apply any of the rules and regulations permitted under this section that the board deems appropriate.
  3. Nothing in this section is construed to authorize a dental assistant to perform the following: diagnosis and treatment planning, surgical procedures on hard or soft tissue, prescribe medication, or administer injectable and/or general anesthesia, except as set forth in subsection (d) of this section.
  4. An oral and maxillofacial surgeon holding a permit issued by the board for the administration of general anesthesia/deep sedation may employ and utilize the services of a DAANCE-certified maxillofacial surgery assistant in accordance with the following criteria:
    1. Satisfactory evidence of completion of a DAANCE-certified maxillofacial surgery assistant training course prepared and administered by the American Association of Oral and Maxillofacial Surgeons and recertification in the DAANCE training program every five (5) years;
    2. Completion of a board of examiners in dentistry-approved advanced cardiac life support course and recertification in advanced cardiac life support every two (2) years;
    3. The valid general anesthesia permit by the oral and maxillofacial surgeon where the assistant will be performing his or her services;
    4. Direct supervision by an oral and maxillofacial surgeon holding a valid general anesthesia/deep sedation permit;
    5. The oral and maxillofacial surgeon shall remain immediately available in the facility for the patient and the DAANCE-certified maxillofacial surgery assistant for evaluation and treatment until the patient meets discharge criteria;
    6. The member of the surgical team who is assigned to monitoring the patient may not have any other responsibilities while monitoring the patient under general anesthesia/deep sedation;
    7. The licensed provider will be responsible for the patient’s recovery;
    8. Peri-operative monitoring consisting of at least continuous electrocardiogram, monitoring of blood pressure, pulse oximetry, and end tidal carbon dioxide consistent with published national standards adopted by the American Association of Oral and Maxillofacial Surgeons in conjunction with the American Society of Anesthesiologists;
    9. The conclusion of the peri-operative monitoring period shall be at the discretion of the licensed provider, using the modified Aldrete scale/scoring system. The patient may then be transferred to a discharge area and shall no longer require continuous monitoring.
  5. Authorized functions  — Supervision.
    1. Any DAANCE-certified maxillofacial surgery assistant meeting the criteria of this section shall perform the functions authorized in this chapter only by delegation of authority from the oral and maxillofacial surgeon and under the supervision, as described in subsections (e)(2) and (e)(3) of this section, and provided the oral and maxillofacial surgeon is acting within the scope of his or her license. The responsibility for monitoring a patient and determining the selection of the drug, dosage, and timing of all anesthetic medications rests solely with the oral and maxillofacial surgeon.
    2. Under direct supervision, the DAANCE-certified maxillofacial surgery assistant may:
      1. Discontinue an intravenous line for a patient who has received intravenous medications, sedation, or general anesthesia;
      2. Adjust the rate of intravenous fluids infusion only to maintain or keep the line patent or open; and
      3. Make medications readily available for review, inspection, and use by the oral and maxillofacial surgeon.
      4. Assist with preparation/delivery/infusion/administration of emergency medications to a patient in order to assist the oral and maxillofacial surgeon in an emergency.
    3. Under direct visual supervision, the DAANCE-certified maxillofacial surgery assistant may:

      (i) Follow instructions to prepare and assist in the administration of medications;

      (ii) Adjust the rate of intravenous fluids infusion beyond a keep-open rate;

      (iii) Adjust an electronic device to provide medications, such as an infusion pump; and

    4. Any oral and maxillofacial surgeon delegating duties under this section must have a valid general anesthesia/deep sedation permit.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2014, ch. 95, § 1; P.L. 2014, ch. 163, § 1.

5-31.1-32. Disclosure of nonparticipation in dental insurance plans.

  1. Any dentist who is not a participant in a dental insurance plan and who, when treating patients of that plan, elects to use the direction to pay procedure set forth in title 27 must post a notice, in a conspicuous place in his or her offices where it can be read by his or her patients, that reads, in substance, as follows:

    “To my patients:

    “I do not participate in the dental insurance plan. You should know that you will be responsible for the payment of my dental fees.”

  2. Any dentist who fails to post this notice is not entitled to charge his or her patients any amount for dental fees in excess of that allowed had the dentist participated in the patients’ dental insurance plan.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2004, ch. 268, § 6; P.L. 2004, ch. 386, § 6.

5-31.1-33. Employment of hygienists — Practices allowed.

Any licensed dentist, public institution, or school authority may employ any licensed dental hygienist, whose activities are confined to performing those services and procedures that the licensed dental hygienist has been educated to perform, and which services and procedures are, from time to time, specifically authorized by rules and regulations adopted by the board of examiners in dentistry. Nothing in this section is construed to authorize a licensed dental hygienist to perform the following: diagnosis and treatment planning, surgical procedures on hard or soft tissue, prescribe medication, or administer general anesthesia or injectables other than oral local anesthesia.

History of Section. P.L. 1987, ch. 358, § 2; P.L. 2005, ch. 219, § 1; P.L. 2005, ch. 232, § 1.

5-31.1-34. Immunity from liability.

No dentist licensed under the provisions of this chapter or members of the same profession licensed to practice in other states of the United States, who voluntarily and gratuitously and other than in the ordinary course of his or her employment or practice, renders emergency medical assistance to a person in need of assistance, is liable for civil damages for any personal injuries that result from acts or omissions by those persons in rendering the emergency care that constitute ordinary negligence. The immunity granted by this section does not apply to acts or omissions constituting gross, willful, or wanton negligence, or when the medical assistance is rendered at any hospital, dentist’s office, or clinic where the services are normally rendered.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-35. Penalty for violations generally — Evidence of unauthorized practice.

Any person who practices or attempts to practice dentistry in this state, without being licensed by and registered with the board, or without registering and obtaining annually a certificate of registration, as provided in this chapter, or who violates any of the provisions of this chapter, penalty for the violation of which is not provided by law, and any person, firm, or corporation owning or carrying on a dental business and in that business employing or permitting any person to practice dentistry in this state, without being licensed and obtaining an annual certificate as stated in this section, is guilty of a felony and, upon conviction, shall be fined not less than two thousand dollars ($2,000) nor more than five thousand dollars ($5,000), or imprisoned for not more than two (2) years, either or both, in the discretion of the court. In no case where any provision of this chapter has been violated is the person violating the provision entitled to receive compensation for service rendered. The opening or maintaining of a dentist’s office, displaying of a dentist’s sign or door plate, or the advertising in the public prints or by cards, circulars, posters, of a readiness to practice dentistry in this state by that person, firm, or corporation is evidence of the violation.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-36. Liability of employers and accomplices.

Any person who employs, hires, procures, or induces any other person not authorized by the provisions of this chapter to perform any act that constitutes the practice of dentistry in this state or aids or abets one not authorized in that practice is guilty of a felony punishable by a fine of not less than two thousand dollars ($2000) or more than five thousand dollars ($5000), or by imprisonment for not more than two (2) years, or by both fine and imprisonment.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-37. Persons and practices exempt.

The following practices, acts, and operations are exempt from the operation of this chapter:

  1. Physicians in the regular discharge of their duties.
  2. The operation by bona fide students of dentistry or dental hygiene in the clinical departments or the laboratory of a school of dentistry or dental hygiene approved by the American Dental Association Commission on Dental Accreditation or its designated agency or by the board of examiners in dentistry.
  3. The practice of dentistry by licensed dentists of other states or countries while appearing and operating as bona fide clinicians or instructors in a school of dentistry or dental hygiene approved by the American Dental Association Commission on Dental Accreditation or its designated agency and by the board of examiners in dentistry.
  4. The practice of dentistry by licensed dentists of other states or countries in conducting or making a clinical demonstration before any bona fide dental or medical society, association, or convention; provided, that the consent of the board of examiners in dentistry to the making and conducting of the clinical demonstration must be first obtained.
  5. The practice of dentistry or dental hygiene by students of a school of dentistry or dental hygiene approved by the American Dental Association Commission on Dental Accreditation or its designated agency and under the supervision of a licensed dentist, in any public hospital, or any institution under the supervision of the state or in any program of the state department of health, with the approval of the board of examiners in dentistry and the authorities of the school, as a part of the required training of the student.

History of Section. P.L. 1987, ch. 358, § 2.

5-31.1-38. Advertising.

  1. All advertising by any facility rendering dental-care services to the public shall contain the name of the dentist or dentists who either directs or owns the facility.
  2. Any person or corporation who or that operates a dental referral service that is engaged in the business of offering to refer patients to dentists must disclose in all advertising that dentists pay a fee to the referral service to participate in the service.

History of Section. P.L. 1999, ch. 425, § 1.

5-31.1-39. Public health hygienists.

  1. Any public health dental hygienist, which for purposes of this chapter means any practicing registered dental hygienist who may perform dental-hygiene procedures in a public-health setting subject to conditions adopted by the Rhode Island board of examiners in dentistry, may perform in a public-health setting, without the immediate or direct supervision or direction of a dentist, any procedure or provide any service that is within the dental-hygiene scope of practice that has been authorized and adopted by the Rhode Island board of examiners in dentistry as a delegable procedure for a dental hygienist under general supervision in a private practice setting.
  2. Public-health settings shall, for purposes of this section, include, but are not limited to, residences of the homebound, schools, nursing home and long-term-care facilities, clinics, hospitals, medical facilities, community health centers licensed or certified by the department of health, mobile and portable dental-health programs licensed or certified by the department of health and operated by a local or state agency, head-start programs, and any other facilities or programs deemed appropriate by the department of health.
  3. Any public-health hygienist shall enter into a written, collaborative agreement with a local or state government agency or institution or with a licensed dentist who states that he or she shall be able to provide the appropriate level of communication and consultation with the dental hygienist to ensure patient health and safety prior to performing any procedure or providing any service under this section. The written, collaborative agreement will follow the appropriate guidelines as determined and established by the Rhode Island board of examiners in dentistry.
  4. Any public-health dental hygienist shall provide to the patient, or to the patient’s legal guardian, a consent form to be signed by the patient or legal guardian. The consent form shall be consistent with current department of health policies that describes services to be rendered and explains that services rendered are not a substitute for a dental examination by a dentist. The consent form shall also inform the patient or legal guardian that the patient should obtain a dental examination by a dentist within ninety (90) days after undergoing a procedure authorized pursuant to this section. The patient or legal guardian shall also obtain written referral to a dentist and an assessment of further dental needs.
  5. The public-health dental hygienist shall be directly reimbursed for services administered in a public-health setting by Medicaid or the state healthcare insurance program except as required by federal Medicaid law, but shall not seek reimbursement from any other insurance or third-party payor. A public-health dental hygienist shall not operate independently of a dentist, except for a dental hygienist working for a local or state government agency or institution or practicing in a mobile or portable prevention program licensed or certified by the department of health. In such cases, the local or state government agency or institution or mobile or portable prevention program licensed or certified by the department of health may seek reimbursement from any other third-party payor.

History of Section. P.L. 2015, ch. 172, § 1; P.L. 2015, ch. 192, § 1.

5-31.1-40. Telemedicine in the practice of dentistry.

Professionals licensed under this chapter utilizing telemedicine in the practice of dentistry are subject to the same standard of care that would apply to the provision of the same dental care service or procedure in an in-person setting.

History of Section. P.L. 2021, ch. 184, § 4, effective July 6, 2021; P.L. 2021, ch. 199, § 4, effective July 6, 2021.

Compiler's Notes.

P.L. 2021, ch. 184, § 4 and P.L. 2021, ch. 199, § 4 enacted identical versions of this section.

Chapter 32 Electrolysis and Laser Hair Removal

5-32-1. Definitions.

As used in this chapter:

  1. “Electrologist” means a person who is licensed by the department of health to perform electrolysis and/or laser hair removal.
  2. “Electrolysis” means the method of removing hair from the human body by the application of an electrical current or any form of energy to the hair-papilla or hair germination by means of a needle or any other instrument or device to cause decomposition, coagulation, dehydration, or other form of tissue destruction, to permanently disable the hair follicle from producing hair.
  3. “Laser” means the acronym for light amplification by stimulated emission of radiation.
  4. “Laser hair removal” means using laser light to perform hair removal or reduction or electrolysis performed with laser light.
  5. “Laser light” means an intense, coherent, directional beam of light produced by stimulated emission of photons.
  6. “Medical director” means a Rhode Island licensed physician.

History of Section. P.L. 1943, ch. 1315, § 2; G.L. 1956, § 5-32-1 ; P.L. 1969, ch. 166, § 1; P.L. 2019, ch. 94, § 2; P.L. 2019, ch. 129, § 2.

Compiler’s Notes.

P.L. 2019, ch. 94, § 2, and P.L. 2019, ch. 129, § 2 enacted identical amendments to this section.

5-32-2. Penalty for unlicensed practice.

Every person who subsequently engages in the practice of electrolysis in this state without being licensed by the board of examiners in electrolysis is practicing illegally and, upon conviction, shall be fined not more than one hundred dollars ($100) and every day of the continuation of illegal practice is a separate offense.

History of Section. P.L. 1943, ch. 1315, § 3; G.L. 1956, § 5-32-2 ; P.L. 2015, ch. 141, art. 20, § 4; P.L. 2016, ch. 489, § 3; P.L. 2016, ch. 491, § 3; P.L. 2019, ch. 94, § 2; P.L. 2019, ch. 129, § 2.

Compiler’s Notes.

P.L. 2019, ch. 94, § 2, and P.L. 2019, ch. 129, § 2 enacted identical amendments to this section.

Cross References.

Board of examiners, § 5-26-2 et seq.

Practice prohibited to hairdressers, § 5-10-20 .

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

5-32-3. Certificates — Applications — Penalty for violations.

The division of professional regulation of the department of health shall issue certificates to practice electrolysis and laser hair removal, as defined in this chapter, to any persons who comply with the provisions of this chapter. Any person who desires to engage in that practice shall submit, in writing, in any form that is required by the board, an application for a certificate to engage in that practice. The application shall be accompanied by a fee as set forth in § 23-1-54 . Any person, firm, corporation, or association violating any of the provisions of this chapter commits a misdemeanor and, upon conviction, shall be punished by a fine not to exceed two hundred dollars ($200), or imprisoned for a period not to exceed three (3) months, or both the fine and imprisonment.

History of Section. P.L. 1943, ch. 1315, § 4; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-32-3 ; P.L. 1960, ch. 76, § 15; P.L. 1969, ch. 166, § 1; P.L. 2001, ch. 77, art. 14, § 7; P.L. 2012, ch. 241, art. 9, § 6; P.L. 2019, ch. 94, § 2; P.L. 2019, ch. 129, § 2.

Compiler’s Notes.

P.L. 2019, ch. 94, § 2, and P.L. 2019, ch. 129, § 2 enacted identical amendments to this section.

5-32-4. Qualifications of applicants.

Licenses to engage in the practice of electrolysis and laser hair removal shall be issued to the applicants who comply with the following requirements:

  1. Are citizens or legal residents of the United States;
  2. Have attained the age of eighteen (18) years;
  3. Have graduated from a high school or whose education is the equivalent of a high school education;
  4. Have satisfactorily completed a course of training and study in electrolysis, as a registered apprentice under the supervision of a licensed Rhode Island electrologist who is qualified to teach electrolysis to apprentices as prescribed in § 5-32-20 , or have graduated from a school of electrolysis after having satisfactorily completed a program consisting of not less than six hundred fifty (650) hours of study and practice in the theory and practical application of electrolysis. That apprenticeship shall include at least six hundred fifty (650) hours of study and practice in the theory and practical application of electrolysis within a term of nine (9) months; provided, that the apprentice registers with the division of professional regulation of the department of health upon beginning his or her course of instruction, and the licensed person with whom they serve that apprenticeship keeps a record of the hours of that instruction, and, upon the completion of that apprenticeship, certifies that fact to the board of examiners in electrolysis;
  5. Is of good moral character; and
  6. Passes an examination approved by the department of health.

History of Section. P.L. 1943, ch. 1315, § 5; G.L. 1956, § 5-32-4 ; P.L. 1969, ch. 166, § 1; P.L. 1996, ch. 164, § 4; P.L. 2000, ch. 174, § 1; P.L. 2015, ch. 141, art. 20, § 4; P.L. 2016, ch. 489, § 3; P.L. 2016, ch. 491, § 3; P.L. 2019, ch. 94, § 2; P.L. 2019, ch. 129, § 2.

Compiler’s Notes.

P.L. 2019, ch. 94, § 2, and P.L. 2019, ch. 129, § 2 enacted identical amendments to this section.

NOTES TO DECISIONS

Constitutionality.

Former requirement of subdivision (4) that students of electrolysis receive their training only from licensed Rhode Island electrologists had no reasonable basis and was therefore an unconstitutional deprivation of due process (decided under former version of section). Baffoni v. Department of Health, 118 R.I. 226 , 373 A.2d 184, 1977 R.I. LEXIS 1450 (1977).

5-32-5. [Repealed.]

History of Section. P.L. 1943, ch. 1315, § 6; Repealed by P.L. 1969, ch. 166, § 2.

5-32-6. Examination of applicants — Expiration and renewal of certificates.

  1. Examination of applicants for certificates shall be held at least twice a year in the city of Providence and may be held elsewhere at the discretion of the division of professional regulation of the department of health. The division has the power to adopt, change, alter, and amend rules and regulations for the conducting of those examinations, and may fix the fee for reexamination. The division shall issue to each person successfully passing the examination, where an examination is required, and who satisfies the division of his or her qualifications, a certificate, signed by the administrator of the division, entitling him or her to practice that business in this state for the annual period stated in the certificate, or until the certificate is revoked or suspended, as subsequently provided.
  2. All certificates shall expire on the 30th day of April of each year, unless sooner suspended or revoked, and shall be renewed for the next ensuing year by the division upon payment to the division of an annual renewal fee as set forth in § 23-1-54 for each renewal.

History of Section. P.L. 1943, ch. 1315, § 7; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-32-6 ; P.L. 1960, ch. 76, § 15; P.L. 1969, ch. 166, § 1; P.L. 1993, ch. 138, art. 71, § 3; P.L. 2000, ch. 174, § 1; P.L. 2001, ch. 77, art. 14, § 7; P.L. 2012, ch. 241, art. 9, § 6.

Cross References.

Examinations, § 5-26-5 .

Veteran’s certificate, renewal on discharge, § 30-20-1 .

5-32-7. Certification of licensees from other states.

Any person licensed to practice electrolysis in any other state or states, who is, or in good faith intends to become, a resident of this state, where the requirements are the equivalent of those of this state and who meets the requirements of this chapter shall be entitled to take that examination and, if he or she passes that examination, shall be, upon the payment of a fee as set forth in § 23-1-54 , entitled to be licensed under the provisions of this chapter.

History of Section. P.L. 1943, ch. 1315, § 14; G.L. 1956, § 5-32-7 ; P.L. 2000, ch. 174, § 1; P.L. 2001, ch. 77, art. 14, § 7; P.L. 2012, ch. 241, art. 9, § 6.

5-32-8. [Repealed.]

History of Section. P.L. 1943, ch. 1315, § 8; G.L. 1956, § 5-32-8 ; Repealed by P.L. 2015, ch. 141, art. 20, § 5, effective June 30, 2015.

Compiler’s Notes.

Former § 5-32-8 concerned apprenticeship register.

5-32-9. Fixed place of business — Sanitary regulation.

The practice of electrolysis shall be engaged in only in a fixed place or establishment, which place or establishment shall be provided with any instruments, implements, and equipment and subject to any sanitary regulation and inspection that the division of professional regulation of the department of health prescribes.

History of Section. P.L. 1943, ch. 1315, § 6; G.L. 1956, § 5-32-9 ; P.L. 2000, ch. 174, § 1.

5-32-10. Advertising.

No person or establishment licensed under the provisions of this chapter shall advertise by written or spoken words of a character tending to deceive or mislead the public.

History of Section. P.L. 1943, ch. 1315, § 15; G.L. 1956, § 5-32-10 ; P.L. 1969, ch. 166, § 1; P.L. 1981, ch. 275, §§ 10, 11.

5-32-11. Display of licenses — Revocation or suspension of licenses for gross unprofessional misconduct.

  1. Every license issued under this chapter shall specify the name of the person to whom it was issued and shall be displayed prominently in the place of business or employment. The division of professional regulation of the department of health has the power to revoke or suspend any license of registration issued under this chapter for gross unprofessional conduct. Gross unprofessional conduct is defined as including, but not limited to:
    1. The use of any false or fraudulent statement in any document connected with the practice of electrolysis;
    2. The obtaining of any fee by fraud or misrepresentation either to a patient or insurance plan;
    3. The violation of a privileged communication;
    4. Knowingly performing any act that in any way aids or assists an unlicensed person to practice electrolysis in violation of this chapter;
    5. The practice of electrolysis under a false or assumed name;
    6. The advertising for the practice of electrolysis in a deceptive or unethical manner;
    7. Habitual intoxication or addiction to the use of drugs;
    8. Violations of any of the rules or regulations of the state department of health, or the violation of any section of this chapter;
    9. Gross incompetence in the practice of his or her profession; or
    10. Repeated acts of immorality or repeated acts of gross misconduct in the practice of his or her profession.
  2. Before any license is suspended or revoked, its holder shall be notified, in writing, of the charge or charges preferred against him or her and shall have a reasonable time to prepare his or her defense and has the right to be represented by counsel and to be heard and to present his or her defense. Any person whose license has been suspended or revoked may apply to have the license reissued and the license may be reissued to him or her upon a satisfactory showing that the cause for disqualification has ceased. The division of professional regulation of the department of health has power by its administrator to summon any person to appear as a witness and testify at any hearing of the division, to examine witnesses, administer oaths, and punish for contempt any person refusing to appear or testify. The division shall serve a copy of its decision or ruling upon any person whose license has been revoked or refused.

History of Section. P.L. 1943, ch. 1315, § 9; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-32-11 ; P.L. 1969, ch. 166, § 1; P.L. 2000, ch. 174, § 1.

5-32-12. Appeals from division.

Any person aggrieved by any decision or ruling of the division of professional regulation of the department of health may appeal that decision to the superior court in the manner provided in the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1943, ch. 1315, § 10; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-32-12 .

5-32-13. Annual renewal of certificates.

All certificates issued under the provisions of this chapter shall be renewed annually by the holders of the certificate at an annual renewal fee as set forth in § 23-1-54 by the division of professional regulation of the department of health.

History of Section. P.L. 1943, ch. 1315, § 11; G.L. 1956, § 5-32-13 ; P.L. 1983, ch. 253, § 11; P.L. 1993, ch. 138, art. 71, § 3; P.L. 2000, ch. 174, § 1; P.L. 2001, ch. 77, art. 14, § 7; P.L. 2012, ch. 241, art. 9, § 6.

5-32-14. [Repealed.]

History of Section. P.L. 1943, ch. 1315, § 12; impl. am P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-32-14 ; P.L. 1995, ch. 370, art. 40, § 15; Repealed by P.L. 2000, ch. 174, § 2, effective July 13, 2000.

Compiler’s Notes.

Former § 5-32-14 concerned disposition of fees.

5-32-15. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1943, ch. 1315, § 13; G.L. 1956, § 5-32-15 ; P.L. 1983, ch. 253, § 11; P.L. 1989, ch. 126, art. 26, § 1; P.L. 1995, ch. 370, art. 40, § 15.

5-32-16. Physicians exempt from chapter.

The provisions of this chapter do not apply to physicians licensed to practice in the state.

History of Section. P.L. 1943, ch. 1315, § 16; G.L. 1956, § 5-32-16 ; P.L. 1969, ch. 166, § 1.

Cross References.

Physicians, § 5-37-1 et seq.

Registered nurses, § 5-34-10 et seq.

5-32-17. [Repealed.]

History of Section. P.L. 1969, ch. 166, § 3; P.L. 2000, ch. 174, § 1; P.L. 2012, ch. 241, art. 9, § 6; Repealed by P.L. 2015, ch. 141, art. 20, § 5, effective June 30, 2015.

Compiler’s Notes.

Former § 5-32-17 concerned qualifications for teaching electrolysis.

5-32-18. [Repealed.]

History of Section. P.L. 2015, ch. 141, art. 20, § 6; Repealed by P.L. 2016, ch. 489, § 5, effective July 16, 2016; P.L. 2016, ch. 491, § 5, effective July 16, 2016.

Compiler’s Notes.

Former § 5-32-18 concerned training and study.

5-32-19. Apprenticeship register.

The division of professional regulation of the department of health shall keep a register in which the names of all persons serving apprenticeships licensed under this chapter shall be recorded. This register is open to public inspection.

History of Section. P.L. 2016, ch. 489, § 4; P.L. 2016, ch. 491, § 4.

5-32-20. Qualifications for teaching electrolysis.

  1. A person, in order to qualify as an instructor or teacher of electrolysis to apprentices, must:
    1. Have been actively engaged as a licensed practitioner of electrolysis for at least five (5) years;
    2. Pass a state board examination specifically designed to evaluate his or her qualifications to teach electrolysis; and
    3. Be a high school graduate or the equivalent.
  2. Upon satisfactorily passing this examination, the division of professional regulation of the department of health shall issue a license to the person upon the payment of a fee as set forth in § 23-1-54 .
  3. A qualified licensed electrologist shall not register more than one apprentice for each nine-month (9) training period.

History of Section. P.L. 2016, ch. 489, § 4; P.L. 2016, ch. 491, § 4.

5-32-21. Practice of laser hair removal.

  1. A person licensed as an electrologist before July 1, 2019, who has practiced laser hair removal under the supervision of a medical director for not less than two (2) years and has conducted at least one thousand (1,000) laser hair removal treatments, whichever is later, with no disciplinary complaints that were found to be actionable by the department resulting in the suspension of a license, shall be permitted to practice electrology and laser hair removal without medical director oversight. The department may reinstate the requirement to perform laser hair removal under the supervision of a medical director for a period of two (2) years as part of a disciplinary settlement; provided, however, that the department shall not require the medical director to be located on-site, but shall be available for consultation.
  2. A person licensed as an electrologist after July l, 2019, shall practice laser hair removal only under the supervision of a medical director, who shall not be required to be located on-site, but who shall be available for consultation. A licensed electrologist, upon completion of two (2) years of practice under the supervision of a medical director, may submit an application to the department certifying the following:
    1. Completion of two (2) years of laser hair removal treatment of patients under the oversight of a medical director;
    2. Completion of one thousand (1,000) patient laser hair removal treatments; and
    3. American Electrology Association Board certification.

      An electrologist meeting the foregoing criteria shall be exempt from the requirement to practice laser hair removal under the supervision of a medical director. The department may reinstate the requirement to perform laser hair removal under the supervision of a medical director for a period of two (2) years as part of a disciplinary settlement; provided, however, that the medical director shall not be required to be located on-site, but shall be available for consultation.

  3. All equipment used for laser hair removal shall comply with all applicable rules and regulations of the United States Food and Drug Administration.
  4. An electrologist shall maintain a complete record of receipt, transfer, and disposal for each device used for electrolysis and laser hair removal, which shall be in writing or capable of reproduction in written form, and shall, at a minimum, contain the following data:
    1. Manufacturer’s name;
    2. Model and serial number of the device;
    3. Date of the receipt, transfer, or disposal;
    4. Name and address of the person the device was received from, transferred to, or to whom the device was transferred for disposal; and
    5. Name of the person recording the information.

History of Section. P.L. 2019, ch. 94, § 3; P.L. 2019, ch. 129, § 3.

Compiler’s Notes.

P.L. 2019, ch. 94, § 3, and P.L. 2019, ch. 129, § 3 enacted identical versions of this section.

Chapter 33 Embalmers and Funeral Directors [Repealed.]

5-33-1 — 5-33-26. [Repealed.]

Repealed Sections.

Chapter 33 of Title 5 (P.L. 1908, ch. 1575, §§ 1, 2, 4, 6, 7, 9 — 11; G.L. 1909, ch. 35, §§ 1, 2, 4, 6, 7, 9 — 11, 16; G.L. 1923, ch. 170, §§ 1 — 12, 14, 15, 17 — 19; P.L. 1927, ch. 964, § 1; P.L. 1932, ch. 1886, § 2; P.L. 1934, ch. 2115, § 1; P.L. 1935, ch. 2223, § 1, ch. 2250, § 149; P.L. 1937, ch. 2544, §§ 2, 3; G.L. 1938, ch. 261, §§ 1 —19, 21; P.L. 1939, ch. 660, § 180; P.L. 1946, ch. 1722, § 1; P.L. 1949, ch. 2228, § 1; P.L. 1952, ch. 2939, § 1; P.L. 1938, ch. 135, §§ 1, 2; P.L. 1960, ch. 76, § 16; P.L. 1961, ch. 60, § 1; P.L. 1982, ch. 383, §§ 2, 3; P.L. 1983, ch. 253, § 12; P.L. 1985, ch. 181, art. 48, §§ 1, 2; P.L. 1989, ch. 126, art. 26, § 14; P.L. 1993, ch. 138, art. 71, § 13), concerning embalmers and funeral directors, was repealed by P.L. 1995, ch. 255, § 1, effective November 1, 1995. For present similar provisions, see Chapter 33.2 of this title.

Chapter 33.1 Funeral Service Contracts

5-33.1-1. Short title.

This chapter is known as “The Funeral Service Contracts Act.”

History of Section. P.L. 1990, ch. 103, § 1.

5-33.1-2. “Funeral service contract” defined.

For the purposes of this chapter, a funeral service contract means a contract that requires the payment of money in exchange for the final disposition of a dead human body, including funeral, burial, or other services, or the furnishing of personal property or funeral merchandise in connection with that disposition, where the use or delivery of the services, property, or merchandise is not immediately required.

History of Section. P.L. 1990, ch. 103, § 1.

5-33.1-3. Funeral service contracts limited to licensed firms and persons.

No person may arrange, promote, enter into, or sell any funeral service contract on behalf of a funeral service establishment unless that person is an embalmer or funeral director licensed in accordance with the provisions of chapter 33.2 of this title, or an officer of a corporation operating a funeral service establishment and which was incorporated prior to January 1, 1969.

History of Section. P.L. 1990, ch. 103, § 1.

5-33.1-4. Escrow accounts.

  1. A licensed funeral service establishment shall deposit any money that the establishment receives pursuant to a funeral service contract, within fifteen (15) days of its receipt of that money, in one or more escrow accounts established in accordance with the provisions of this section.
  2. Each escrow account established pursuant to this section shall be administered and maintained by the escrow agent who is designated by the funeral service establishment that deposits money in the escrow account and who may be the funeral director of the funeral service establishment.
  3. Assets held in escrow accounts established pursuant to this section shall be invested in one or more of the following:
    1. Deposit accounts insured by the Federal Deposit Insurance Corporation;
    2. Accounts insured against loss of principal by an agency or instrumentality of the United States government;
    3. Bonds in which savings banks in this state may, by law, invest;
    4. Obligations of the United States or any agency of the United States or of any state or any municipality of any state;
    5. Credit unions insured by the National Credit Union Administration; or
    6. Any other deposit account, insurance contract, of a quality, safety, and expense comparable to those prescribed in this subsection or in shares or units of beneficial interests of any open-end investment company or association or investment trust that is registered under the federal Investment Company Act of 1940, 15 U.S.C. § 80a-1 et seq.; provided that the company, association, or trust invests solely in investments that are set forth in this subsection or repurchase agreements secured by those investments.
  4. All interest, dividends, and other income earned on the amounts deposited in an escrow account pursuant to this section shall be retained in the escrow account and credited to the interests of those persons for whose benefit the escrow account is maintained. Amounts in an escrow account shall be removed from that account only as provided in this chapter. The party designated as an escrow agent shall receive an annual statement from the financial institution responsible for the escrow account, of the amount credited to the party’s escrow account, unless those statements are not normally provided by the financial institution in the ordinary course of business. The statement shall include the name and address of the escrow agent.
  5. If a purchaser of funeral services, property, or merchandise defaults in making payments required under the terms of the contract, or if the purchaser or the person responsible for making funeral arrangements for a deceased beneficiary fails to have the funeral service establishment provide services, the funeral service establishment may retain any origination fee and any costs actually and reasonably incurred by the establishment in the performance of the contract as liquidated damages; provided, that the sum of the amount retained as an origination fee and the amount retained to pay for costs incurred by the funeral establishment in the performance of the contract shall not exceed an amount equal to five percent (5%) of the amount in the escrow account at the time the purchaser of funeral services defaults in making the payments, or two hundred dollars ($200), whichever is greater. The balance of any amount remaining in the escrow account shall be paid to the purchaser within fifteen (15) days of request for payment.
  6. A person, firm, or corporation licensed in accordance with the provisions of chapter 33.2 of this title who or that enters into a funeral service contract shall furnish the agent of an escrow account established in accordance with the provisions of this section with the name of the purchaser of the services, and the address and name of the beneficiary of the funeral service contract. Nothing in this section shall prohibit the commingling of more than one escrow account for the purchaser of the money received under more than one funeral service contract for the purpose of management and investment of funds in the escrow account.
  7. A funeral service contract shall provide that, if the particular merchandise provided for in the contract is not available at the time of death, the funeral service establishment shall furnish merchandise equal or superior in quality of material and workmanship to the merchandise provided for in the contract.

History of Section. P.L. 1990, ch. 103, § 1; P.L. 1993, ch. 57, § 1.

5-33.1-5. Disposition of funds held in escrow.

Funds held in an escrow account in accordance with the provisions of a funeral service contract shall remain intact. Upon submission to the escrow agent of a statement that the services, personal property, and merchandise have been fully performed or delivered, subscribed and sworn to under the penalties of perjury by the director of the funeral service establishment, the escrow agent shall pay to the funeral service establishment the amounts deposited in the escrow account pursuant to the funeral service contract and all income earned on these amounts and retained in the escrow account. At performance, the charges for “funeral goods and services selected” may be adjusted to reflect current reasonable and customary charges. The additional charges are to be itemized on a second contract marked “Part II” “funeral goods and services selected” form. Excess funds are to be returned to the beneficiary within fifteen (15) days of performance of the contract. Total expenses shall not exceed the total of escrow accounts.

History of Section. P.L. 1990, ch. 103, § 1.

5-33.1-6. Cancellation of contract.

Any person who has entered into a funeral service contract with a funeral service establishment, upon written notice to the establishment and to the escrow agent may cancel any funeral service contract prior to the performance by the establishment. In the event of a cancellation, all money in the escrow account paid by this person, together with all accrued income, shall be returned within fifteen (15) days after the cancellation. The funeral service establishment may retain an amount equal to the costs actually and reasonably incurred in the performance of the contract; this amount shall not exceed two and one-half percent (2.5%) of the amount in the escrow account on the date the purchaser cancels the contract, or two hundred dollars ($200) whichever is greater.

History of Section. P.L. 1990, ch. 103, § 1.

5-33.1-7. Funeral service contract not a burial insurance policy.

A funeral service contract is not a burial insurance policy.

History of Section. P.L. 1990, ch. 103, § 1.

5-33.1-8. Unfair trade practice.

A violation of any of the provisions of this chapter is deemed an unfair or deceptive trade practice.

History of Section. P.L. 1990, ch. 103, § 1.

5-33.1-9. Irrevocable funeral contract.

An irrevocable funeral contract may be entered into in which the amount held in escrow may be disbursed only upon the death of the beneficiary and that all interest accumulates to the escrow account and is also inaccessible to the beneficiary. Such irrevocable funeral contract funds only shall be transferred from one funeral service establishment to another upon request of the beneficiary and the consent of the escrow agent. The purchase of an irrevocable funeral contract shall not preclude an individual from purchasing other funeral contracts that are revocable.

History of Section. P.L. 1990, ch. 103, § 1; P.L. 2009, ch. 310, § 30.

5-33.1-10. Fines — Penalties.

  1. Any person, partnership, corporation, association, or his or her or its agents or representatives violating any of the provisions of this chapter is guilty of a misdemeanor and upon conviction shall be punished by imprisonment not exceeding six (6) months, or by a fine not exceeding five hundred dollars ($500), or both.
  2. Any complaints for violations or appeals follow the same form and procedure as in chapter 33.2 of this title.

History of Section. P.L. 1990, ch. 103, § 1.

Chapter 33.2 Funeral Director/Embalmer and Funeral Service Establishments

5-33.2-1. Definitions.

As used in this chapter:

  1. “Board” means the state board of funeral directors/embalmers.
  2. “Cremation” means a two-part (2) procedure where a dead human body or body parts are reduced by direct flames to residue that includes bone fragments and the pulverization of the bone fragments to a coarse powdery consistency.
  3. “Department” means the Rhode Island department of health.
  4. “Division” means the division of professional regulation created under chapter 26 of this title.
  5. “Embalmer” means any person who has completed an internship; full course of study at an accredited mortuary science school; has passed the national board examination; and is engaged in the practice or profession of embalming, as defined in this section.
  6. “Embalming” means the practice, science, or profession of preserving, disinfecting, and preparing in any manner dead human bodies for burial, cremation, or transportation.
  7. “Funeral” means a period following death in which there are religious services or other rites or ceremonies with the body of the deceased present.
    1. “Funeral directing” means:
      1. Conducting funeral services; or
      2. The arrangement for disposition of dead human bodies, except in the case of any religion where the preparation of the body or the provision of funeral services should be done according to religious custom or belief.
    2. Only funeral directors/embalmers working for a licensed funeral establishment are allowed to meet with families for the purpose of arranging funerals. Provided, that any person who assumed an ownership interest from his or her spouse or any widow or widower of a licensed funeral director who at the time of November 1, 1995, has been meeting with families to arrange for the conducting of funeral services is allowed to continue this practice.
  8. “Funeral director/embalmer” means any person engaged, or holding himself or herself out as engaged, in the practice or profession of funeral directing, and the science, practice, or profession of embalming as previously defined, including a funeral director of record, who may be a funeral director at more than one establishment or any other word or title intending to imply or designate him or her as a funeral director/embalmer, undertaker, or mortician. The holder of this license must be the holder of an embalmer’s license.
  9. “Funeral director/embalmer intern” means any person engaged in learning the practice or profession of funeral directing and the science, practice, or profession of embalming under the instruction and supervision of a funeral director/embalmer licensed and registered under the provisions of this chapter and actively engaged in the practice or profession of funeral directing and embalming in this state.
  10. “Funeral establishment” means a fixed place, establishment, or premises, licensed by the department, devoted to the activities that are incident, convenient, or related to the care and preparation, arrangement, financial and otherwise, for the funeral, transportation, burial, or other disposition of human dead bodies and including, but not limited to, a suitable room with all instruments and supplies used for the storage or preparation of dead human bodies for burial or other disposition.
  11. “Funeral merchandise” means those items that are normally presented for sale as part of the funeral home operation on a for-profit basis. These items include caskets, sealed, warranted outer-burial containers, and burial clothing. Not included are urns, grave markers, and non-sealed outer-burial containers. All persons engaged in the sale of funeral merchandise must comply with the provisions of chapter 33.1 of this title.
  12. “Person” includes individuals, partnerships, corporations, limited-liability companies, associations, and organizations of all kinds.
  13. “Practice of funeral service” means a person engaging in providing shelter, care, and custody of human dead remains; in the practice of preparing of the human dead remains by embalming or other methods for burial or other disposition; in entering into a funeral service contract; engaging in the functions of funeral directing and/or embalming as presently known, including those stipulated within this chapter and as defined in the Federal Trade Commission “Funeral Rule.” The practice of conducting funeral services shall be conducted in the presence of a licensed funeral director/embalmer.

History of Section. P.L. 1995, ch. 255, § 2; P.L. 2019, ch. 308, art. 1, § 13.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

Comparative Legislation.

Embalmers and funeral directors:

Conn. Gen. Stat. § 20-207 et seq.

Mass. Ann. Laws ch. 13, § 29 et seq.; ch. 112, § 82 et seq.

NOTES TO DECISIONS

Constitutionality.

Former chapter 33 applied equally to all persons engaged in occupations regulated by its provisions and was not unconstitutional under R.I. Const., Art. I, § 2 , relating to the distribution of burdens among the citizens of the state. Prata Undertaking Co. v. State Bd. of Embalming & Funeral Directing, 55 R.I. 454 , 182 A. 808, 1936 R.I. LEXIS 5 (1936) (decided under prior law).

Former chapter 33, with the exception of certain parts of former provisions relating to burial plans, was not unconstitutional as in violation of the privileges and immunities, due process and equal protection clauses of the U.S. Const., Amend. 14, § 1. Prata Undertaking Co. v. State Bd. of Embalming & Funeral Directing, 55 R.I. 454 , 182 A. 808, 1936 R.I. LEXIS 5 (1936) (decided under prior law).

Regulatory Power.

The undertaking business may be regulated and controlled by the legislature in the exercise of the police power. Prata Undertaking Co. v. State Bd. of Embalming & Funeral Directing, 55 R.I. 454 , 182 A. 808, 1936 R.I. LEXIS 5 (1936) (decided under prior law).

Collateral References.

Automobile furnished to or by undertaker, with driver, negligent operation of. 17 A.L.R.2d 1388.

Civil liability of undertaker in connection with embalming or preparation of body for burial. 48 A.L.R.3d 261.

Contract for burial, validity and regulation. 68 A.L.R. 1525.

Covenant restricting use of property to “residence” as applying to use of premises as funeral home. 175 A.L.R. 1209.

Exemption of equipment of undertaker. 2 A.L.R. 838; 9 A.L.R. 1020; 36 A.L.R. 669; 52 A.L.R. 826.

Liability in damages for withholding corpse from relatives. 48 A.L.R.3d 240.

Nuisance, undertaking establishment as. 8 A.L.R.4th 324.

Statutory modification of obligation of burial association toward members dying abroad. 168 A.L.R. 13.

Validity of statute or ordinance regulating funeral directors and embalmers. 89 A.L.R.2d 1338.

5-33.2-2. Board of examiners — Qualifications and removal of members — Vacancies.

  1. The members of the board of examiners in embalming shall be residents of this state for at least five (5) years; three (3) of whom shall have had at least five (5) years’ practical experience in embalming dead human bodies and in funeral directing, and shall have been actually engaged in these professions in this state and two (2) of whom shall be private citizens who represent the consumer and who are not involved with or affiliated with, financial or otherwise, any funeral establishment and/or funeral director/embalmer. The current members shall serve their present term as they fulfill the requirements of this section. No member shall serve more than two (2) consecutive terms.
  2. The director of the department of health may remove any member of the board for cause. Vacancies are filled pursuant to § 5-26-4 .

History of Section. P.L. 1995, ch. 255, § 2.

Cross References.

Board of examiners, § 5-26-2 et seq.

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

NOTES TO DECISIONS

Constitutionality.

The limiting of membership on the board to citizens and residents of this state who have actually engaged in the undertaking business in this state for at least five years is not unfair or discriminatory and such provisions are valid and unobjectionable. Prata Undertaking Co. v. State Bd. of Embalming & Funeral Directing, 55 R.I. 454 , 182 A. 808, 1936 R.I. LEXIS 5 (1936) (decided prior to 1938 and 1982 amendments).

5-33.2-3. Rules and regulations.

The director of the department of health has the power to adopt any rules and regulations, not inconsistent with law, that he or she deems necessary, in carrying out the purposes of this chapter and for the prevention of and transmission of disease.

History of Section. P.L. 1995, ch. 255, § 2.

Cross References.

Functions of department of health, § 42-18-1 .

5-33.2-4. Unlicensed practice unlawful.

It is unlawful for any person to engage in, conduct, or hold himself or herself out as engaged in the practice of funeral directing and/or embalming, or of preparing for or disposing of dead human remains by any means in this state or preserving in any manner, dead human bodies, in this state, unless he or she holds a funeral director/embalmer’s license issued in accordance with the provisions of this chapter. It is unlawful for any person, partnership, association, corporation, limited-liability company, or other organization to open or maintain a place or establishment at which to engage in or conduct, or hold himself, herself, or itself out as engaging in or conducting, the business of funeral directing without that place or establishment being licensed under this chapter as a funeral establishment. Notwithstanding the provisions of this section, a person under the supervision of a licensed funeral director/embalmer is allowed to: fulfill duties not specifically prohibited by this chapter, and those duties allowed by the Federal Trade Commission funeral rule.

History of Section. P.L. 1995, ch. 255, § 2.

5-33.2-5. Application for license — Application fee.

Any person who desires to engage in embalming or funeral directing, or both, shall submit, in writing, to the division of professional regulation, an application for a license. That application shall be accompanied by a fee set by the department of health.

History of Section. P.L. 1995, ch. 255, § 2.

5-33.2-6. Qualifications of funeral director/embalmers.

A funeral director or embalmer’s license shall be issued only to individuals, and no corporation, partnership, association, limited-liability company, or organization shall be entitled to obtain the license. In order to be entitled to a funeral director/embalmer’s license, an applicant must meet the following requirements:

  1. Be at least eighteen (18) years of age;
  2. Be a citizen of the United States or have lawful entry into the country;
  3. Show to the satisfaction of the division that he or she is of good moral character;
  4. Be a high school graduate or its equivalent;
  5. Have graduated from a school of mortuary science accredited by the American Board of Funeral Service Education, Inc.;
  6. Have at least an associate degree or the equivalent of sixty (60) semester hours from an approved college or university or be currently enrolled in a school accredited by the American Board of Funeral Service Education, Inc.;
  7. Have completed a registered funeral director/embalmer internship;
  8. Have satisfactorily passed the funeral director and embalmer portions of the written examination of the Conference of Funeral Service Examining Boards;
  9. Have satisfactorily passed a practical examination that the board deems proper to ascertain his or her efficiency and qualifications to engage in the business of funeral directing and embalming;
  10. All individuals holding an embalmer and/or funeral director license on November 1, 1995, will be automatically issued a funeral director/embalmer license upon payment of the required annual license renewal fee; and
  11. The name and title of at least the funeral director/embalmer registered with the department as the licensee in charge of the funeral establishment or funeral establishment branch, shall appear in all printed advertising.

History of Section. P.L. 1995, ch. 255, § 2.

NOTES TO DECISIONS

Name Display Requirement.

Where defendant had previously entered into agreement with competitor to refrain from using his own name in advertising his funeral home, the name-display provision of this section did not require him to breach that covenant by displaying his name beneath that of his funeral home, since that requirement could have been met by displaying the name of a certified embalmer and officer other than defendant. E.M.B. Assocs. v. Sugarman, 118 R.I. 105 , 372 A.2d 508, 1977 R.I. LEXIS 1435 (1977).

5-33.2-7. Armed forces embalming experience.

Any person who has served in the armed forces of the United States and has been honorably discharged from that service, and who has, prior to his or her induction into the armed forces, completed his or her high school education and a full course of instruction in a funeral/director embalming school, as provided in § 5-33.2-6 , and who had also prior to that induction commenced his or her internship, as provided in § 5-33.2-6 , and who, while in the armed forces, assisted in the embalming of human bodies, shall be conclusively presumed to have been continuing that course of training during the time he or she was engaged in assisting in embalming human bodies while in the armed forces, and all bodies in the embalming of which he or she assisted while in the armed forces are deemed to have been embalmed during his or her internship, and in compliance with the provisions of § 5-33.2-6. Each person shall submit to the division proof of his or her having assisted in the embalming of bodies while in the armed forces, and of the number of bodies embalmed, by filing with the division his or her sworn affidavit of the related facts, which, in the absence of specific proof to the contrary, are presumed to be true and authentic.

History of Section. P.L. 1995, ch. 255, § 2.

Cross References.

Extension to Korean, Vietnam, and other campaign veterans, § 30-22-3 et seq.

5-33.2-8. Participation in burial certificate plans.

No person who has promoted or is promoting, or has participated in or is participating in, any scheme or plan in the nature of a burial association or a burial certificate plan, or in which there is any element of fraud, shall be entitled to any license under the provisions of this chapter, and the board shall revoke the license of any holder of a license who has engaged, directly or indirectly, in the practices enumerated in this chapter. Nothing contained in this section shall prevent that person from performing his or her obligations under any contract executed prior to April 25, 1952.

History of Section. P.L. 1995, ch. 255, § 2.

NOTES TO DECISIONS

Constitutionality.

Former provisions prohibiting the promotion or participation in burial plans “wherein the rights of the public are not properly protected” were unconstitutional under U.S. Const., Amend. XIV, as being so vague and indefinite that they could be given no effect. Prata Undertaking Co. v. State Bd. of Embalming & Funeral Directing, 55 R.I. 454 , 182 A. 808, 1936 R.I. LEXIS 5 (1936) (decided under prior law).

5-33.2-9. Cemetery operators ineligible to conduct business of funeral directing.

Any person or persons, association, or corporation having charge of or conducting a cemetery shall not engage in the business of funeral directing. No funeral home will be licensed, nor be permitted to operate as a funeral home, if it is located on property owned by a cemetery or is contiguous with cemetery property.

History of Section. P.L. 1995, ch. 255, § 2.

5-33.2-10. Issuance of licenses — Expiration and renewal of licenses.

All licenses issued under the provisions of this chapter shall expire on the thirty-first day of December each year, unless previously suspended or revoked. The division shall keep a register in which is entered the names of all persons to whom licenses are issued under this chapter, and that register shall be open to public inspection at the office of the administrator of the division.

History of Section. P.L. 1995, ch. 255, § 2.

Cross References.

Examinations, § 5-26-5 .

Veteran’s certificate, renewal on discharge, § 30-20-1 .

5-33.2-11. Display of licenses — Assignment of licenses prohibited.

Every license issued as a funeral director/embalmer shall specify the name of the person to whom it was issued, and shall be conspicuously displayed in his or her place of business or employment. Every license issued as a funeral establishment or branch office shall specify the name of the establishment as listed on the application. Licenses issued under the provisions of this chapter shall not be assignable.

History of Section. P.L. 1995, ch. 255, § 2.

5-33.2-12. Funeral establishment and branch offices licenses.

  1. No person, association, partnership, corporation, limited-liability company, or otherwise, shall conduct, maintain, manage, or operate a funeral establishment or branch office unless a license for each funeral establishment and branch office has been issued by the department and is conspicuously displayed. In the case of funeral services conducted under the license of a funeral establishment held in any private residence, public building, or church, no separate establishment license shall be required. A licensed funeral establishment must be distinct and separate from other non-funeral service related activity for which it is licensed. No license to operate a funeral establishment shall be issued by the department unless the applicant for the funeral establishment license has registered with the department a licensed funeral director/embalmer who shall be in charge as the funeral director of record. The branch office of a funeral establishment must have a separate branch office establishment license but not a separate funeral director of record. One branch office shall be allowed to operate under the funeral establishment license, and this one branch office may be permitted to operate without a preparation room. Applications for the funeral establishment license and branch office shall be made on forms furnished by the division accompanied by the application fees as set forth in § 23-1-54 . Upon receipt of a completed application and the recommendation of the board, the division shall issue a license. All funeral establishment and branch office licenses shall expire on the thirty-first day of December of each year, unless sooner suspended or revoked. A license shall be issued to a specific licensee for a specific location and is not transferable. The funeral establishment licensee shall notify the division, in writing, delivered in person or by certified mail, within ten (10) days from the date of termination of employment, for any cause, of the funeral director/embalmer of record with the division for the funeral establishment. The license of the funeral establishment shall expire forty-five (45) days from the date the division was notified by the licensee, if no new funeral director/embalmer is registered with the division. No funeral services shall be conducted at the funeral establishment without a funeral director/embalmer being registered with the division as the funeral director of record for that funeral establishment. Two (2) licensed funeral directors may operate jointly at one location if one of their existing funeral establishments closes its place of business and joins an existing licensed funeral establishment. Each firm will hold its own separate establishment license. One cannot operate a branch office by invoking this section. Human dead remains shall not be held more than forty-eight (48) hours without embalming or without refrigeration for the purpose of maintaining public health. A funeral establishment must, at the minimum, contain a preparation room equipped with tile, cement, or composition floor, necessary drainage and ventilation, and containing necessary instruments and supplies for the preparation and embalming of dead human remains for burial, transportation, or other disposition.
  2. Any person who inherits any ownership interest to a funeral establishment may continue to conduct the business of that establishment as their ownership interest would allow upon the following:
    1. Filing with the division a statement of change of fact concerning that inheritance; and
    2. Conducting the business of the establishment in compliance with all the requirements of this chapter.

History of Section. P.L. 1995, ch. 255, § 2; P.L. 2007, ch. 73, art. 39, § 6; P.L. 2012, ch. 241, art. 9, § 7.

Collateral References.

Restrictions on location of business of undertaker. 3 A.L.R. 966; 25 A.L.R. 764; 165 A.L.R. 1112.

5-33.2-13. Funeral establishment and branch officer — Crematories — Inspections — Denial of access.

  1. Any licensed funeral director/embalmer employed, authorized, and empowered by the division of professional regulation may enter any funeral establishment, funeral-establishment branch office, or crematory licensed under the provisions of this chapter, during the hours the funeral establishment, funeral-establishment branch office, or crematory is open for business, for the purpose of inspecting the sanitary conditions, complaint investigations, and ascertaining if the provisions of this chapter and the rules and regulations are being observed in the operation of the funeral establishment, funeral-establishment branch office, or crematory. The inspector may request permission from the department to be accompanied by another employee of the department of health prior to an inspection. Failure or refusal of the person in charge of that funeral establishment, funeral-establishment branch office, or crematory to permit the inspection at all reasonable times shall be deemed sufficient cause for the revocation of any license issued to the funeral establishment, funeral-establishment branch office, or crematory and any certificate of approval issued by the division.
  2. Funeral establishments and branch offices and crematories licensed under the provisions of this chapter shall be inspected at least twice each year. Inspections shall include all areas of sanitation and public health, complaint investigations, as well as conformity with applicable section of this chapter and the rules and regulations.

History of Section. P.L. 1995, ch. 255, § 2.

Collateral References.

Restrictions on location of business of undertake. 3 A.L.R. 966; 25 A.L.R. 764; 165 A.L.R. 1112.

5-33.2-13.1. Crematories — License and inspection.

No crematory owned or operated by or located on property licensed as a funeral establishment or at another location or by a cemetery shall conduct cremations without first having applied for and obtained a license from the department. Applications for the crematory license shall be made on forms furnished by the division accompanied by the application fee as set forth in § 23-1-54 . Upon receipt of a completed application, the department shall issue a license. A license shall be issued to a specific licensee for a specific location and is not transferable. The facility and licensee shall meet all requirements as prescribed by the rules and regulations established by the department, not inconsistent with this chapter.

History of Section. P.L. 1995, ch. 255, § 2; P.L. 2001, ch. 77, art. 14, § 8; P.L. 2007, ch. 73, art. 39, § 6; P.L. 2012, ch. 241, art. 9, § 7.

5-33.2-13.2. Cremation of human remains.

    1. Cremation shall not take place until the necessary permits and consents are issued pursuant to § 23-3-18 .
    2. A crematory shall not take custody of unidentified human remains.
    3. Human remains designated for cremation shall be cremated without unreasonable delay.
    4. When the crematory is unable to cremate the human remains immediately upon taking custody, the crematory shall provide a holding facility that complies with any applicable public health law and that preserves the dignity of the human remains.
    5. Holding facilities must be secure from access by all unauthorized persons.
    6. A crematory shall not simultaneously cremate more than one human remain within the same cremation chamber. The processing, packaging, storage, and disposition of cremated remains shall be as prescribed in the rules and regulations promulgated by the department of health division of professional regulation.
    7. A crematory or funeral home shall be authorized to dispose of the cremated remains that have been abandoned at the crematory or funeral home for more than six (6) months. All reasonable attempts must be made and diligence exercised to contact the person in charge who authorized the cremation.
  1. This section does not apply to the cremation of various body parts from different human bodies.

History of Section. P.L. 1995, ch. 255, § 2.

5-33.2-14. Payments for securing business prohibited.

Every funeral establishment, funeral director/embalmer, or his, her, or its agent or representatives, who pays, or causes to be paid, directly or indirectly, any sum of money or other valuable consideration for the securing of business, and every person who accepts any sum of money or other valuable consideration, directly or indirectly, from a funeral director/embalmer or an agent or owner of a funeral establishment in order that the latter may obtain business, is guilty of a misdemeanor and upon conviction shall be punished as subsequently provided, and the certificate of any funeral director/embalmer or the license of any funeral establishment violating the provisions of this section or whose agents or servants violate these provisions, shall be revoked by the division. This section does not prohibit the funeral establishment or funeral director/embalmer from advertising.

History of Section. P.L. 1995, ch. 255, § 2.

NOTES TO DECISIONS

Constitutionality.

The provisions of this section do not prevent the doing of business but merely regulate the method and do not infringe the rights of persons affected under U.S. Const., Amend. XIV. Prata Undertaking Co. v. State Bd. of Embalming & Funeral Directing, 55 R.I. 454 , 182 A. 808, 1936 R.I. LEXIS 5 (1936) (decided under prior law).

5-33.2-15. Annual renewal of licenses.

All licenses issued under the provisions of this chapter must be renewed annually by their holders, who shall pay to the division a yearly renewal fee for the renewal of a funeral director/embalmer’s license, and additional fees for each funeral-establishment branch office license and for the crematory license. These fees are as set forth in § 23-1-54 . On or before the fifteenth day of November in each year, the division shall mail to each licensed funeral director/embalmer and to each licensed funeral establishment, funeral-establishment branch office, and crematory an application for the renewal. Applications, accompanied by the fee for renewal, shall be filed with the division on or before the thirty-first day of December in each year. Applications filed after the thirty-first of December and on or before the fifteenth of January must be accompanied by a fee as set forth in § 23-1-54 for funeral director/embalmers and funeral establishments in addition to the previously established renewal fees. Any funeral director/embalmer who acts or holds himself or herself out as a funeral director/embalmer after his or her certificate has been lapsed shall be punished as provided in this chapter. Any funeral establishment, funeral-establishment branch office, or crematory that acts or holds itself out as a funeral establishment after its license has lapsed shall be punished as provided in this chapter.

History of Section. P.L. 1995, ch. 255, § 2; P.L. 2001, ch. 77, art. 14, § 8; P.L. 2007, ch. 73, art. 39, § 6; P.L. 2012, ch. 241, art. 9, § 7.

5-33.2-16. Funeral director/embalmer — Internship.

  1. Nothing in this chapter shall be construed as prohibiting any person from serving as a funeral director/embalmer intern. Before an internship begins, the person desiring to become an intern shall register with the division on any forms that it prescribes. No person under the age of eighteen (18) years shall be permitted to register as an intern. The division may make any rules and regulations that it deems advisable for the supervision of interns. All persons registering as an intern shall pay a fee as set forth in § 23-1-54 at the time of the registration. That intern is not permitted to advertise or hold himself or herself out to the public as a registered funeral director/embalmer. The term of internship shall be not less than one year; provided, that if an intern after having served his or her internship fails to pass the examination for a funeral director/embalmer’s license or fails to embalm fifty (50) human remains during his or her internship, he or she may continue his or her internship. The total term of internship must be completed within five (5) years from the date of original registration.
  2. The intern must have assisted in embalming at least fifty (50) bodies if the period for registered internship is to be satisfied in one year. If the internship is for more than one year, the applicant must embalm at least twenty-five (25) bodies for each year of his or her internship. Each licensed funeral establishment embalming up to one hundred fifty (150) human remains per year shall be allowed to register one intern at one time. Each establishment embalming more than one hundred fifty (150) but less than three hundred (300) human remains per year shall be allowed to register two (2) interns at one time. Each establishment embalming three hundred (300) or more human remains per year shall be allowed to register three (3) interns at one time.

History of Section. P.L. 1995, ch. 255, § 2; P.L. 2001, ch. 77, art. 14, § 8; P.L. 2007, ch. 73, art. 39, § 6; P.L. 2012, ch. 241, art. 9, § 7.

5-33.2-17. Revocation or suspension of license.

  1. The division has the power to refuse to issue or may revoke or suspend any license issued by it under this chapter, after written notification and a hearing before the board for gross incompetency, for unprofessional conduct, which is defined to include:
    1. Conviction of a felony;
    2. Misrepresentations made of services, goods, or of funeral prices or fraud committed as a holder of a license for the practice of embalming, funeral directing, or the holder of a license as a funeral establishment, funeral-establishment branch, or crematory;
    3. False or misleading advertising as the holder of a license for the practice of embalming, funeral directing, or the holder of a license as a funeral establishment, funeral-establishment branch, or crematory; violating any regulations relating to “truth in advertising”; or failure to do the following:
      1. List only full-time employees or those having an ownership interest in the advertisements including his or her title, which clearly identifies one’s duties;
      2. List the name of the funeral director of record for the establishment in all advertising;
      3. A deceased founder may be listed in advertisements with the notation “founder” following the name;
    4. Solicitation of dead human bodies by any licensed embalmer, funeral director, funeral attendant, or the holder of license as a funeral establishment, funeral-establishment branch or crematory, its agents, assistants, or employees, whether the solicitation occurs after death or while death is impending; provided, that this does not prohibit general advertising;
    5. Employment directly or indirectly of any intern, agent, assistant, employee, or other person, on part or full-time, or on commission, for the purpose of calling upon individuals or institutions by whose influence dead human bodies may be turned over to a particular funeral establishment;
    6. The direct or indirect payment or offer of payment of a commission by any funeral establishment, funeral-establishment branch, or crematory, its agents, assistants, or employees for the purpose of securing business;
    7. Solicitation or acceptance by a licensed funeral director/embalmer, or the holder of a license as a funeral establishment, funeral-establishment branch, or crematory, of any commission or bonus or rebate in consideration of recommending or causing a dead human body to be disposed of in any crematory, mausoleum, or cemetery;
    8. Using any funeral merchandise previously used in whole or in part without prior written permission of the person selecting and/or paying for the use of the merchandise;
    9. Violation of any of the provisions of this chapter;
    10. Violation of any state law or rule and regulation affecting the handling, custody, care, transportation, or final disposition of dead human bodies;
    11. Fraud or misrepresentation in obtaining or renewing a license;
    12. Refusing to properly release a dead human body to the custody of the person or entity who has the legal right to effect the release and authorized cost has been paid;
    13. Aiding or abetting an unlicensed person to practice funeral directing and embalming or holding oneself out as a licensed funeral director/embalmer;
    14. Failure to secure any required permit for removal or burial of dead human remains prior to interment or final disposition;
    15. Knowingly making any false statement on a certificate of death;
    16. Violation of chapter 33.1 of this title entitled “Funeral Service Contracts”;
    17. Discriminating in services because of race, creed, color, or national origin;
    18. Permitting non-funeral service licensees to make arrangements for a funeral prior to, or at, need unless exempted under chapter 33.1 of this title or a registered intern under the supervision of a licensee;
    19. Substantial or repeated violations of the rules and regulations of the Federal Trade Commission and/or the Occupational Safety and Health Administration, or for other violations deemed sufficient; provided, that before any license is revoked or suspended, the license holder shall have notice, in writing, of the charge or charges against him or her and shall have reasonable opportunity to be heard in his or her defense.
  2. Any person whose certificate has been revoked or suspended may apply to have the certificate reissued, and the certificate shall be reissued to him or her upon a satisfactory showing that disqualification has ceased.

History of Section. P.L. 1995, ch. 255, § 2.

Cross References.

Receipt of money for prepaid funeral with intent to defraud, § 11-18-30 .

NOTES TO DECISIONS

Constitutionality.

Provision of this section permitting revocation or suspension of certificates “for other cause deemed sufficient in the judgment of said board” was not so broad, unreasonable and arbitrary as to infringe on the constitutional rights of certificate holders under U.S. Const., Amend. XIV, § 1. Prata Undertaking Co. v. State Bd. of Embalming & Funeral Directing, 55 R.I. 454 , 182 A. 808, 1936 R.I. LEXIS 5 (1936) (decided under prior law).

5-33.2-18. Summons of witnesses.

The division has power by its administrator to summon any person to appear as a witness and testify at any hearing of the division under the provisions of this chapter and to examine and to administer oaths to those witnesses.

History of Section. P.L. 1995, ch. 255, § 2.

5-33.2-19. Appeals.

Any person aggrieved by any decision or ruling of the division may appeal that decision to the administrator of the division or his or her designee. A further appeal may then be made to the appropriate board of examiners. Any person aggrieved by any decision or ruling of that board may appeal the decision to the director of the department. Any further appeal from the action of the director shall be in accordance with the provisions of chapter 35 of title 42, “administrative procedures act.” The division shall be considered a person for the purposes of this section.

History of Section. P.L. 1995, ch. 255, § 2.

5-33.2-20. Restricted receipts accounts for fees.

All the proceeds of any fees collected pursuant to the provisions of this chapter, shall be placed in a restricted receipts accounts, which is used for the general purposes of the division of professional regulation with the department of health.

History of Section. P.L. 1995, ch, 255, § 2.

5-33.2-21. Penalty for violations.

Any person, partnership, corporation, limited-liability company, association, or his or her or its agents or representatives violating any of the provisions of this chapter, or of any rules or regulation of the division, is guilty of a misdemeanor and upon conviction shall be punished by imprisonment for not exceeding six (6) months, or by a fine not exceeding five hundred dollars ($500), or by both the fine and imprisonment, within the discretion of the court.

History of Section. P.L. 1995, ch. 255, § 2.

Cross References.

Receipt of money for prepaid funeral with intent to defraud, § 11-18-30 .

5-33.2-22. Complaints of violations.

  1. Complaints for violation of the provisions of this chapter or of any lawful rules or regulation made under this chapter by the division may be made by the administrator of the division or by any person authorized by the administrator, who shall be exempt from giving surety for costs on that complaint.
  2. All complaints filed with the division charging a person or establishment with having been guilty of any actions specified in this chapter or the rules and regulations must be sworn and notarized.

History of Section. P.L. 1995, ch. 255, § 2.

5-33.2-23. Severability.

If any provision of this chapter or of any rule or regulation made under this chapter, or the application of this chapter to any person or circumstances, is held invalid by a court of competent jurisdiction, the remainder of the chapter, rule, or regulation and the application of the provision to other persons or circumstances, is not affected.

History of Section. P.L. 1995, ch. 255, § 2.

NOTES TO DECISIONS

Constitutionality.

Where certain phrases of former provision relating to burial plans were unconstitutional under U.S. Const., Amend. 14, as being so vague and indefinite that they could be given no effect, such phrases could be separated from the remainder of the provision and the remainder held constitutional. Prata Undertaking Co. v. State Bd. of Embalming & Funeral Directing, 55 R.I. 454 , 182 A. 808, 1936 R.I. LEXIS 5 (1936) (decided under prior law).

5-33.2-24. Proper authority for funeral arrangements and disposition of human remains.

Every licensed funeral director/embalmer, licensed funeral establishment, licensed crematory, and cemetery shall comply with the following rules with respect to proper authority for funeral arrangements and disposition of human remains:

  1. If a licensed funeral establishment is a party to a funeral service contract, as defined in § 5-33.1-2 , for the benefit of a deceased person, only when executed by the principal, him or herself, and the contract is still in effect at the time of that person’s death, the terms of that contract shall control the nature of the funeral goods and services to be provided; the manner in which funeral services are to be conducted for the deceased; and the final disposition of the deceased person’s remains to the full extent provided in that contract. When the contract is executed by the principal, him or herself, and specifies cremation as the chosen disposition, the contract is considered sufficient legal authorization for cremation. No licensed funeral establishment, licensed crematory, or cemetery, nor any of its agents or employees, may cancel or materially alter any of the arrangements specified in that contract, even if requested to do so by a member of the deceased person’s family or a funeral planning agent designated pursuant to chapter 33.3 of this title unless compliance with the terms of the original contract would result in a violation of any applicable federal, state, or local law or regulation, notwithstanding the provisions of this chapter.
  2. To the extent that there is no funeral service contract in effect at the time of death for the benefit of the deceased person, indicating the wishes of the deceased person with respect to the nature of the funeral goods and services to be provided, the manner in which funeral services are to be conducted, or the final disposition of the deceased person’s remains, then the funeral establishment and its agents or employees shall follow the directions of the deceased person’s survivors in the following order of priority:
    1. An agent designated pursuant to chapter 33.3 of this title, if any;
    2. The surviving spouse or domestic partner of the deceased;
    3. The surviving adult children of the deceased;
    4. The surviving parent(s) of the deceased over the age of eighteen (18), or, if the deceased is a minor, and there is a custody order relative to that child, the custodial parent, after he or she signs an affidavit attesting that he or she does not know the whereabouts of the other parent;
    5. The surviving brother(s) or sister(s) of the deceased;
    6. The surviving adult grandchildren of the deceased;
    7. The surviving adult niece(s) or nephew(s) of the deceased;
    8. The guardian of the person of the deceased at the time of his or her death.
  3. All licensed funeral directors/embalmers, licensed funeral establishments, licensed crematories, cemeteries, and all their agents and employees shall be held harmless, and shall not be subject to civil suit, either as individual(s), partnership(s), or corporation(s), for complying with the provisions of this chapter.
  4. For the purpose of this chapter, “domestic partner” shall be defined as a person who, prior to the decedent’s death, was in an exclusive, intimate, and committed relationship with the decedent and who certifies by affidavit that their relationship met the following qualifications:
    1. Both partners were at least eighteen (18) years of age and were mentally competent to contract;
    2. Neither partner is married to anyone else;
    3. Partners were not related by blood to a degree that would prohibit marriage in the state of Rhode Island;
    4. Partners resided together and had resided together for at least one year at the time of death; and
    5. Partners were financially interdependent as evidenced by at least two (2) of the following:
      1. Domestic partnership agreement or relationship contract;
      2. Joint mortgage or joint ownership of primary residence;
      3. Two (2) of the following:
        1. Joint ownership of motor vehicle;
        2. Joint checking account;
        3. Joint credit account;
        4. Joint lease; and/or
      4. The domestic partner had been designated as a beneficiary for the decedent’s will, retirement contract, or life insurance.

History of Section. P.L. 1999, ch. 196, § 1; P.L. 2009, ch. 369, § 1; P.L. 2009, ch. 385, § 1; P.L. 2014, ch. 226, § 1; P.L. 2014, ch. 323, § 1.

5-33.2-25. Mandatory continuing education training.

Every funeral director/embalmer shall be required to participate in a total of five (5) hours annually of continuing education training of which one hour is mandated by annual OSHA training; provided, however, those funeral directors or embalmers who are sixty-five (65) years of age or older and have forty (40) years of experience are exempt from this requirement. The five (5) hours of annual training shall be required for renewals issued as of January 1, 2008.

History of Section. P.L. 2007, ch. 326, § 1; P.L. 2009, ch. 367, § 1; P.L. 2009, ch. 387, § 1; P.L. 2022, ch. 129, § 1, effective July 1, 2022; P.L. 2022, ch. 130, § 1, effective July 1, 2022.

Compiler's Notes

P.L. 2022, ch. 129, § 1, and P.L. 2022, ch. 130, § 1 enacted identical amendments to this section.

5-33.2-26. Licensure by endorsement.

Any funeral director/embalmer who is currently licensed in good standing in another state may be licensed by endorsement in Rhode Island. Every funeral director/embalmer seeking such licensure must also be a graduate of a mortuary college, must have passed the funeral director and embalmer portions of the written examination of the national board. Furthermore, every funeral director/embalmer must comply with all requirements of chapter 5-33 and successfully complete a practical examination in Rhode Island. Anyone licensed in another state prior to 1985 is hereby exempt from the National Board Examination requirements set forth in this section.

History of Section. P.L. 2007, ch. 326, § 1.

Chapter 33.3 Funeral Planning Agent Designation

5-33.3-1. Title.

This act may be known as the “Funeral Planning Agent Designation Act.”

History of Section. P.L. 1999, ch. 196, § 2.

5-33.3-2. Definitions.

As used in this chapter:

  1. “Funeral planning agent” means a person who is at least eighteen (18) years of age; who has been duly and lawfully designated, and who has accepted the designation, to act for the principal; and who has authority and responsibility to make all arrangements, regarding funeral preparation, planning, the nature of the funeral goods and services to be provided, the manner in which funeral services are to be conducted, burial, and/or the disposition of the principal’s remains, including cremation, upon the death of the principal. The funeral planning agent may be a relative or a non-relative of the principal, except as otherwise provided for in § 5-33.3-3(d) .
  2. “Principal” means the person designating another individual or individuals to serve as his or her funeral planning agent upon the person’s death.
  3. “Relative” means any person defined pursuant to the provisions of § 5-33.2-24(2)(ii) — (2)(vii).

History of Section. P.L. 1999, ch. 196, § 2.

5-33.3-3. Designation of funeral planning agent.

  1. Any individual who is at least eighteen (18) years of age and of sound mind is allowed to designate a primary funeral planning agent and alternate agent, if they wish.
  2. All healthcare providers, as licensed under the provisions of chapter 29 or 37 of this title, all healthcare facilities, as defined in chapter 17 of title 23, all funeral directors/embalmers and funeral establishments as defined in chapter 33.2 of this title, and all crematories and cemeteries, as well as their agents and employees, shall be required to comply with all of the provisions of this chapter.
  3. The individual making the designation pursuant to subsection (a) shall designate a primary agent, but shall not be required to designate an alternate agent. No person so designated as the funeral planning agent shall be required to take on the responsibilities of said designation if they are unwilling or incapable of doing so.
  4. No person may act as a primary funeral planning agent or alternate agent for more than one non-relative at any one time except that a person may serve as a funeral planning agent to any and all of his or her relatives and any one non-relative simultaneously. The designated agent or alternate agent shall sign the designation accepting the appointment. A person accepting said appointment shall assume ultimate responsibility for ensuring full payment of all expenses and costs connected to the funeral of the principal from the principal’s resources, or in the event the principal’s resources are insufficient to ensure full payment, from the agent’s own personal financial resources.
  5. All individuals, facilities, and establishments listed in subsection (b) shall be held harmless, and shall not be subject to civil suit, either as individual(s), partnership(s), or corporation(s) for complying with the provisions of this chapter.

History of Section. P.L. 1999, ch. 196, § 2.

5-33.3-4. Form of designation.

  1. The designation provided for in section 5-33.3-3 may be in substantially the following form:I, (PRINCIPAL), do hereby name and designate (PRIMARY AGENT) as my primary funeral planning agent, or if he/she is unwilling or incapable (ALTERNATE AGENT) as my alternate funeral planning agent, who shall have the sole responsibility and authority to make any and all arrangements and decisions regarding my funeral preparation and planning, burial or disposition of my remains, including cremation, upon my death, pursuant to the provisions of § 5-33.2-24 . By signing this document, the aforementioned agent(s) agree to ensure payment for all outstanding expenses related to my funeral. The agent further certifies that if I am a non-relative to the agent, then I am the only non-relative for whom the agent is serving as a funeral planning agent. This document shall revoke and shall make null and void any and all previous designations of a funeral planning agent.
  2. Upon the proper and complete execution of a funeral planning agent designation form, a signed notarized original thereof shall be given to the principal executing the form, the primary funeral planning agent, and the alternate funeral planning agent, if any.
  3. The principal is encouraged to review in detail his or her specific wishes regarding the nature of the funeral goods and services to be provided, the manner in which funeral services are to be conducted, and/or the disposition of his or her remains with their funeral planning agent(s).
  4. This chapter shall not be construed to prohibit the participation of other individuals in the funeral planning process as well as the funeral itself. No individuals shall be required to designate a funeral planning agent under the provisions of this chapter.

Witness: Principal: (Name and address of Witness) Name and address of Principal: Dated: Dated: Primary Agent: Alternate Agent: Name and Address of Primary Name and Address of Alternate Agent Agent Dated: Dated: State of County of Subscribed and sworn to before me this day of (Notary Public)

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History of Section. P.L. 1999, ch. 196, § 2.

Chapter 34 Nurses

5-34-1. Legislative intent.

The legislature of the state, in order to safeguard life, health, property, and the public welfare of the people of this state and, in order to protect the people of the state from the unauthorized, unqualified, and improper application of services by individuals in the practice of nursing, declares it a policy to continue to adequately provide for state regulatory authority for nursing. The legislature further declares it is the policy of the state that state regulatory authority for nursing has the power to enforce the provisions of this chapter. Any person who practices or offers to practice nursing or who represents oneself as a licensed professional or practical nurse without qualifying under the provisions of this chapter endangers the public health.

History of Section. P.L. 1982, ch. 328, § 2.

Repealed Sections.

The former chapter, §§ 5-34-1 5-34-38 (P.L. 1935, ch. 2250, § 110; P.L. 1935, ch. 2272, §§ 1, 2, 5-13; G.L. 1938, ch. 280, §§ 1, 2, 5-14; P.L. 1947, ch. 1959, § 1; P.L. 1948, ch. 2041, § 2; G.L., ch. 280, §§ 6, 10-19; P.L. 1948, ch. 2041, § 2; P.L. 1951, ch. 2728, § 1; P.L. 1952, ch. 2936, § 1; G.L., ch. 280, §§ 2-18; P.L. 1952, ch. 2936, § 1; G.L. 1956, §§ 5-34-1 5-34-37 ; G.L., ch. 280, § 12; P.L. 1956, ch. 3801, § 1; P.L. 1959, ch. 69, § 1; P.L. 1962, ch. 113, §§ 1-4; P.L. 1966, ch. 233, § 1; P.L. 1969, ch. 38, § 1; P.L. 1971, ch. 158, § 1; P.L. 1974, ch. 214, § 1; P.L. 1976, ch. 165, § 1), was repealed by P.L. 1982, ch. 328, § 1, and replaced by the present chapter on the same subject by P.L. 1982, ch. 328, § 2.

Cross References.

Corporations for practice by registered nurses, § 7-5.1-1 et seq.

Comparative Legislation.

Nurses:

Conn. Gen. Stat. § 20-87a et seq.

Mass. Ann. Laws, ch. 13, § 13; ch. 112, § 74 et seq.

Collateral References.

Duty of physician or nurse to assist patient while dressing or undressing. 41 A.L.R.3d 1351.

Duty of physician or surgeon to warn or instruct nurse or attendant. 63 A.L.R.3d 1020.

Failure of nurse to give constant attendance, hospital’s liability for. 22 A.L.R. 353; 39 A.L.R. 1431; 124 A.L.R. 186.

Independent contractor or servant, nurse as. 19 A.L.R. 1189; 60 A.L.R. 303.

Liability of operating surgeon for negligence of assisting nurse. 12 A.L.R.3d 1017.

Records kept by nurse as evidence. 75 A.L.R. 378; 120 A.L.R. 1124.

Special nurse, private hospital’s liability for failure to employ. 22 A.L.R. 345; 39 A.L.R. 1431; 124 A.L.R. 186.

5-34-1.1. Title of act.

This act shall be known and may be cited as “The Rhode Island Nurse Practice Act.”

History of Section. P.L. 2003, ch. 125, § 1; P.L. 2003, ch. 138, § 1.

5-34-2. License and registration required to practice nursing or use title.

It is unlawful for any person to practice or offer to practice nursing in this state or to use any title, sign, abbreviation, card, or device indicating authority to practice nursing unless that person is licensed and registered under the provisions of this chapter or by the compact set forth in chapter 34.3 of this title.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 2007, ch. 50, § 1; P.L. 2007, ch. 62, § 1.

5-34-3. Definitions.

As used in this chapter:

  1. “Advanced practice registered nurse” (APRN) is the title given to an individual licensed to practice advanced practice registered nursing within one of the following roles: certified nurse practitioner (CNP), certified registered nurse anesthetist (CRNA) as defined in chapter 34.2 of this title, or certified clinical nurse specialist (CNS), and who functions in a population focus. An APRN may serve as a primary- or acute-care provider of record.
  2. “Advanced practice registered nursing” means an independent and expanded scope of nursing in a role and population focus approved by the board of nurse registration and nursing education that includes the registered nurse scope of practice and may include, but is not limited to, performing acts of advanced assessment, diagnosing, prescribing, and ordering. Each APRN is accountable to patients, the nursing profession, and the board of nursing for complying with the requirements of this chapter and the quality of advanced nursing care rendered; recognizing limits of knowledge and experience; planning for the management of situations beyond the APRN’s expertise; and for consulting with or referring patients to other healthcare providers as appropriate.
  3. “Approval” means the process where the board of nursing evaluates and grants official recognition to basic nursing education programs meeting established criteria and standards.
  4. “Certified clinical nurse specialist” is an advanced practice registered nurse who independently provides care to clients; facilitates attainment of health goals; and provides innovation in nursing practice, based on clinical expertise, evidence-based decision-making, and leadership skills. The clinical nurse specialist practices with individual clients and populations; nurses, and other multidisciplinary team members; and organizations to effect systemwide changes to improve programs of care. The practice may include prescriptive privileges.
  5. “Certified nurse practitioner” is an advanced practice nurse utilizing independent knowledge of physical assessment, diagnosis, and management of health care and illnesses. The practice includes prescriptive privileges. Certified nurse practitioners are members of the healthcare delivery system practicing in areas including, but not limited to: family practice, pediatrics, adult health care, geriatrics, and women’s health care in primary, acute, long-term, and critical-care settings in healthcare facilities and the community. Certified nurse practitioners may be recognized as the primary-care provider or acute-care provider of record.
  6. “Certified registered nurse anesthetist” is as defined in chapter 34.2 of this title (“Nurse Anesthetist”).
  7. “Department” means the department of health.
  8. “Health” means optimum well-being.
  9. “Health care” means those services provided to promote the optimum well-being of individuals.
  10. “Licensed” means the status of qualified individuals who have completed a designated process by which the board of nursing grants permission to individuals accountable and/or responsible for the practice of nursing and to engage in that practice, prohibiting all others from legally doing so.
  11. “Nursing” means the provision of services that are essential to the promotion, maintenance, and restoration of health throughout the continuum of life. It provides care and support of individuals and families during periods of wellness, illness, and injury, and incorporates the appropriate healthcare plan of care prescribed by a licensed advanced practice registered nurse, certified nurse midwife, licensed physician, dentist, or podiatrist. It is a distinct component of health services. Nursing practice is based on specialized knowledge, judgment, and nursing skills acquired through educational preparation in nursing and in the biological, physical, social, and behavioral sciences.
  12. “Population foci” means focus of the patient population. Population focus shall include:
    1. Family/Individual across the lifespan;
    2. Adult-gerontology;
    3. Neonatal;
    4. Pediatrics;
    5. Women’s health/gender-related; and
    6. Psychiatric/mental health.
  13. “Practical nursing” is practiced by licensed practical nurses (L.P.N.s). It is an integral part of nursing based on a knowledge and skill level commensurate with education. It includes promotion, maintenance, and restoration of health and utilizes standardized procedures leading to predictable outcomes that are in accord with the professional nurse regimen under the direction of a registered nurse. In situations where registered nurses are not employed, the licensed practical nurse functions under the direction of a licensed physician, dentist, podiatrist, or other licensed healthcare providers authorized by law to prescribe. Each L.P.N. is responsible for the nursing care rendered.
  14. “Professional nursing” is practiced by registered nurses (R.N.s). The practice of professional nursing is a dynamic process of assessment of an individual’s health status; identification of healthcare needs; determination of healthcare goals with the individual and/or family participation; and the development of a plan of nursing care to achieve these goals. Nursing actions, including teaching and counseling, are directed toward the promotion, maintenance, and restoration of health and evaluation of the individual’s response to nursing actions and the medical regimen of care. The professional nurse provides care and support of individuals and families during periods of wellness and injury and incorporates, where appropriate, the medical plan of care as prescribed by a licensed physician, dentist, podiatrist, or other licensed healthcare providers authorized by law to prescribe. Each R.N. is directly accountable and responsible to the consumer for the nursing care rendered.
  15. “Psychiatric and mental health nurse clinical specialist” is a certified clinical nurse specialist working in the population foci of psychiatric/mental health as an advanced practice nurse utilizing independent knowledge in psychiatric mental-health assessment; diagnosis, health promotion, psychotherapeutic modalities, and management of mental health and illnesses. The practice may include prescription privileges within their scope of practice. The practice may also include consultation and education.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 1990, ch. 162, § 1; P.L. 1991, ch. 361, § 2; P.L. 1993, ch. 93, § 1; P.L. 1993, ch. 303, § 1; P.L. 1997, ch. 261, § 1; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2; P.L. 2013, ch. 83, § 1; P.L. 2013, ch. 93, § 1; P.L. 2014, ch. 528, § 3.

5-34-4. Board of nursing — Establishment — Composition — Appointment, terms, and removal of members — Director of nurse registration and nursing education.

  1. Within the division of professional regulation, pursuant to chapter 26 of this title, there is a board of nurse registration and nursing education, sometimes referred to herein as the “board of nursing.” The board shall be composed of fifteen (15) members. The term of office shall be for three (3) years. No member shall serve more than two (2) consecutive terms. The member shall serve until a qualified successor is appointed to serve. In making those appointments, the director of the department of health shall consider persons suggested by professional nurse organizations and the practical nurse’s association.
  2. Present members of the board holding office under the provisions of this chapter shall serve as members of the board until the expiration of their terms or until qualified successors are appointed. The fifteen-member (15) board shall include: eleven (11) professional nurses, two (2) practical nurses appointed by the director of health and approved by the governor, and two (2) members of the general public appointed by the governor. Three (3) professional nurses shall be from different basic education programs preparing students to become nurses; one professional nurse shall be from a nursing service administration; four (4) professional non-administrative, clinical nurses not licensed as advanced practice nurses; and three (3) professional advanced practice nurses, one who holds a license as a certified registered nurse anesthetist, one who holds a license as a certified registered nurse practitioner, and one who holds a license as a certified clinical nurse specialist. No educational program or cooperating agency shall have more than one representative on the board.
  3. The director of health may remove any member from the board for cause including, but not limited to, neglect of any duty required by law, incompetence, unprofessional conduct, or willful misconduct. A member subject to disciplinary proceedings shall be disqualified from board business until the charge is adjudicated. There shall also be a director of nurse registration and nursing education appointed by the director of health in accordance with the provisions of chapter 4 of title 36.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 1988, ch. 180, § 1; P.L. 1993, ch. 93, § 1; P.L. 1993, ch. 303, § 1; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2; P.L. 2013, ch. 83, § 1; P.L. 2013, ch. 93, § 1; P.L. 2014, ch. 528, § 3.

Cross References.

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

5-34-5. Board of nursing — Qualifications of members.

  1. Each member of the board of nurse registration and nursing education shall:
    1. Be a citizen of the United States;
    2. Be a resident of the state for at least one year immediately preceding appointment;
    3. File the statutory oath of office with the secretary of state before beginning the term of office; and
    4. Sign a conflict-of-interest statement.
  2. Each professional nurse member of the board shall:
    1. Be currently licensed as a registered nurse in the state; and
    2. Have at least five (5) years’ experience in nursing practice or administration, nursing service, or teaching or administration in a nursing education program and is currently employed in nursing at the time of appointment and employed in nursing for at least three (3) years immediately preceding appointment.
  3. Each practical nurse member of the board shall:
    1. Be currently licensed as a practical nurse in the state; and
    2. Have at least five (5) years’ experience in practical nursing and is currently employed in nursing for at least three (3) years immediately preceding appointment.
  4. Each advanced practice nurse member of the board shall:
    1. Be currently licensed as an advanced practice nurse in the state; and
    2. Have at least five (5) years’ experience in nursing practice and is currently employed as an advanced practice nurse for at least three (3) years immediately preceding appointment.
  5. Neither member from the general public shall be a nurse or shall be enrolled in a nursing education program.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2.

5-34-6. Board of nursing — Organization — Meetings.

The board of nurse registration and nursing education shall elect annually from its membership a president and vice-president. A secretary shall also be elected. The state director of nurse registration and nursing education shall not be a member of the board. Meetings may be called by the president, vice-president, director of nurse registration and nursing education, director of the department of health, or upon written request of five (5) members of the board. A majority constitutes a quorum at any meeting.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2.

5-34-7. Board of nursing — General powers.

The board of nurse registration and nursing education is authorized, subject to the approval of the director of the department of health, to:

  1. Adopt, review, or revise rules and regulations consistent with the law that may be necessary to effect provisions of the chapter;
  2. Approve nursing education programs according to the rules established by the board;
  3. Require standards for nursing practice within organized nursing services and the individual practice of licensees;
  4. Approve the examinations for licensure;
  5. Establish requirements to validate competence for reinstatement to the active list;
  6. Conduct hearings upon charges calling for discipline of a licensee or revocation of a license;
  7. Issue subpoenas to compel the attendance of witnesses and administer oaths to persons giving testimony at hearings;
  8. Cause the prosecution or enjoinder of all persons violating this chapter;
  9. Maintain a record of all its proceedings;
  10. Submit an annual report to the director of the department of health;
  11. Utilize other persons who may be necessary to carry on the work of the board;
  12. Conduct public hearings, investigations, and studies of nursing practice, nursing education, and related matters and prepare and issue publications that, in the judgment of the board, allow the nursing profession to provide safe, effective nursing services to the public;
  13. Determine qualifications necessary for prescriptive privileges for advanced practice registered nurses;
  14. Grant prescriptive privileges to advanced practice registered nurses; and
  15. [Deleted by P.L. 2013, ch. 83, § 1 and P.L. 2013, ch. 93, § 1];
  16. [Deleted by P.L. 2013, ch. 83, § 1 and P.L. 2013, ch. 93, § 1];
  17. Adopt criteria for recognizing national certifying bodies for APRN roles and population foci.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 1990, ch. 162, § 1; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2; P.L. 2013, ch. 83, § 1; P.L. 2013, ch. 93, § 1; P.L. 2014, ch. 528, § 3.

5-34-8. Board of nursing — Compensation of members.

No member of the board of nurse registration and nursing education shall be compensated for the discharge of official duties.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 2005, ch. 117, art. 21, § 11.

5-34-9. Register of nurses — Records — Issuance of licenses.

The department shall license and renew licenses upon the recommendation of the board of nurse registration and nursing education and shall maintain a roster of all applicants for licensure and all nurses licensed under this chapter, which shall be open at all reasonable times to public inspection; and shall be custodian of all records pertaining to the roster and licensing of all nurses; and shall have the custody of the official seal. The department shall issue all licenses to practice nursing only upon recommendation of the board of nurse registration and nursing education.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2.

5-34-10. Qualifications of professional nurse applicants.

An applicant for licensure to practice as a professional nurse shall submit to the board written evidence on forms furnished by the division of professional regulation that the applicant:

  1. Has completed at least an approved high school course of study or the equivalent supported by diploma or certificate of the course of study as determined by the rules and regulations of the state board of education;
  2. Has successfully completed the prescribed curriculum in an approved basic professional nursing education program and holds a diploma from the program; and
  3. Is of good moral character.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 2018, ch. 176, § 8; P.L. 2018, ch. 289, § 8.

5-34-11. Licensing of professional nurses.

  1. By examination.  The applicant is required to pass a written or computerized adaptive testing examination determined by the board of nurse registration and nursing education. Upon successful completion of that examination, the applicant shall receive a license to practice nursing as a professional nurse.
  2. Without examination by endorsement.  A license to practice nursing as a professional nurse may be issued without examination to an applicant who is licensed by examination as a professional nurse under the laws of another state or territory if, in the opinion of the board of nurse registration and nursing education, the applicant meets the qualifications required of professional nurses in this state.
  3. Applications.  The board of nurse registration and nursing education shall act on each application within ninety (90) days of its submission.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 1993, ch. 93, § 1; P.L. 1993, ch. 147, § 1; P.L. 1993, ch. 303, § 1.

5-34-12. Application fee for professional nurses.

The applicant for a license to practice as a professional nurse shall pay a fee as set forth in § 23-1-54 .

History of Section. P.L. 1982, ch. 328, § 2; P.L. 2001, ch. 77, art. 14, § 9; P.L. 2007, ch. 73, art. 39, § 7; P.L. 2012, ch. 241, art. 9, § 8.

5-34-13. Right to use professional nurse title.

Any person who holds a license to practice as a professional nurse in this state shall have the right to use the title “Registered nurse” and the abbreviation “R.N.” No other person may assume that title or use that abbreviation or any other words or letters, signs, figures, or devices to indicate that the person using it is a professional nurse.

History of Section. P.L. 1982, ch. 328, § 2.

5-34-14. Qualifications of practical nurse applicants.

An applicant for a license to practice as a licensed practical nurse shall submit to the board of nurse registration and nursing education written evidence on forms furnished by the department, verified by oath, that the applicant:

  1. Has completed the preliminary educational requirements prescribed by the board;
  2. Has furnished satisfactory proof that he or she successfully completed the prescribed curriculum in an approved program of practical nursing and holds a diploma or certificate from the program or is a graduate of an approved school of professional nursing or was a student in good standing at an approved school of professional nursing before completing the program of studies and, at the time of withdrawal, had completed a program of study, theory, and clinical practice equivalent to that required for graduation from an approved school of practical nursing; and
  3. Is of good moral character.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 1988, ch. 610, § 1; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2.

5-34-15. Licensing of practical nurses.

  1. By examination.  The applicant for a license to practice as a licensed practical nurse in this state is required to pass a written or computerized adaptive testing examination determined by the board of nurse registration and nursing education. Upon successful completion of that examination, the applicant shall receive a license to practice nursing as a licensed practical nurse.
  2. Without examination by endorsement.  A license to practice as a licensed practical nurse shall be issued without examination to any applicant who is licensed by examination as a practical nurse or a person entitled to perform similar services under a different title under laws of another state or territory if, in the opinion of the board of nurse registration and nursing education, the applicant meets the requirements for licensed practical nurses in this state.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 1993, ch. 93, § 1; P.L. 1993, ch. 303, § 1.

5-34-16. Application fee for practical nurse licensure.

The applicant for licensure to practice as a licensed practical nurse shall pay a fee as set forth in § 23-1-54 .

History of Section. P.L. 1982, ch. 328, § 2; P.L. 2001, ch. 77, art. 14, § 9; P.L. 2007, ch. 73, art. 39, § 7; P.L. 2012, ch. 241, art. 9, § 8.

5-34-17. Right to use practical nurse title.

Any person who holds a license to practice nursing as a practical nurse in this state has the right to use the title “Licensed Practical Nurse” and the abbreviation “L.P.N.” No other person may assume that title or use that abbreviation or any other words, letters, signs, figures, or devices to indicate that the person using it is a licensed practical nurse.

History of Section. P.L. 1982, ch. 328, § 2.

5-34-18. Signature on licenses for nursing.

All original licenses to practice nursing either as a professional or practical nurse under this chapter shall be signed by the president and the director of nurse registration and nursing education, and the director of the department of health.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2.

5-34-19. Expiration and renewal of licenses.

  1. The license of every person licensed under this chapter shall expire on the first day of March of every other year following the date of license. On or before the first day of January of every year, the director shall mail an application for renewal of license to persons scheduled to be licensed that year. Every person who wishes to renew his or her license shall file with the department a duly executed renewal application together with the renewal fee as set forth in § 23-1-54 .
  2. Upon receipt of an application accompanied by payment of fees, the department shall grant a renewal license effective March second and expiring two (2) years later on March first, and that renewal license shall render the holder a legal practitioner of nursing for the period stated on the certificate of renewal. Every person seeking renewal of a license pursuant to this section shall provide satisfactory evidence to the department that in the preceding two (2) years the practitioner has completed the ten (10) required continuing education hours as established by the department through rules and regulations. The department may extend for only one six-month (6) period these educational requirements if the department is satisfied that the applicant has suffered hardship that prevented meeting the educational requirement.
  3. Any person practicing nursing during the time his or her license has lapsed shall be considered an illegal practitioner and is subject to the penalties provided for violation of this chapter.
  4. A licensee whose license has expired by failure to renew may apply for reinstatement according to the rules established by the board. Upon satisfaction of the requirements for reinstatement, the board shall issue a renewal of license.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 1983, ch. 33, § 1; P.L. 1993, ch. 138, art. 71, § 14; P.L. 2001, ch. 77, art. 14, § 9; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2; P.L. 2007, ch. 73, art. 39, § 7; P.L. 2012, ch. 241, art. 9, § 8.

5-34-19.1. Applications to include data on race and ethnic background.

Applications for all licenses and/or all license renewals issued pursuant to this chapter shall include a section requesting optional data on the race and ethnic background of the applicant. Only aggregate data on race and ethnic background may be disseminated by the department of health. The data obtained from the response to such section shall be tabulated by the board of nurse registration and nursing education. The data obtained from the response to such section shall remain confidential and can be released only in the aggregate. The applicant shall in no way be required to provide the information.

History of Section. P.L. 2004, ch. 289, § 1; P.L. 2004, ch. 460, § 1.

Compiler’s Notes.

P.L. 2004, ch. 289, § 1, and P.L. 2004, ch. 460, § 1, enacted substantially similar versions of this section. The section as set out represents a composite prepared by the director of law revision of the joint committee on legislative services.

5-34-20. Transfer to inactive list — Reinstatement.

A nurse who does not intend to practice nursing during the two-year (2) period, upon written request to the department, may have his or her name transferred to an inactive list and is not required to pay the renewal fee for as long as the inactive status is maintained. A licensee whose license has been transferred to the inactive list may apply for reactivation according to the rules established by the board. Upon satisfaction of the requirements for reinstatement, the department shall issue a renewal of license.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2.

5-34-21. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 1989, ch. 126, art. 26, §§ 2, 15; P.L. 1995, ch. 370, art. 40, § 17.

5-34-22. [Repealed.]

History of Section. P.L. 1982, ch. 328, § 2; Repealed by P.L. 2003, ch. 125, § 4, effective July 9, 2003.

Compiler’s Notes.

Former § 5-34-22 concerned application for evaluation and approval of basic nursing education programs.

5-34-23. [Repealed.]

History of Section. P.L. 1982, ch. 328, § 2; Repealed by P.L. 2003, ch. 125, § 4, effective July 9, 2003.

Compiler’s Notes.

Former § 5-34-23 concerned the process for initial and continuing evaluation and approval of basic nursing education programs.

5-34-24. Grounds for discipline of licensees.

The board of nurse registration and nursing education has the power to deny, revoke, or suspend any license to practice nursing; to provide for a nondisciplinary alternative only in situations involving alcohol or drug abuse; or to discipline a licensee upon proof that the person is:

  1. Guilty of fraud or deceit in procuring or attempting to procure a license to practice nursing;
  2. Guilty of a crime of gross immorality;
  3. Unfit or incompetent by reason of negligence or habits;
  4. Habitually intemperate or is addicted to the use of habit-forming drugs;
  5. Mentally incompetent;
  6. Guilty of unprofessional conduct that includes, but is not limited to, all of the above and also:
    1. Abandonment of a patient;
    2. Willfully making and filing false reports or records in the practice of nursing;
    3. Willful omission to file or record nursing records and reports required by law;
    4. Failure to furnish appropriate details of a client’s nursing needs to succeeding nurses legally qualified to provide continuing nursing services to a client;
    5. Willful disregard of standards of nursing practice and failure to maintain standards established by the nursing profession; or
  7. Guilty of and willfully or repeatedly violating any of the provisions of this chapter and/or rule or regulation adopted pursuant to this chapter.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 1995, ch. 43, § 1.

Collateral References.

Confidential communications. 68 A.L.R. 177; 47 A.L.R.2d 742.

Liability for injury allegedly resulting from negligence in making a hypodermic injection. 45 A.L.R.3d 731.

Liability for negligence in diagnosing or treating aspirin poisoning. 36 A.L.R.3d 1358.

Physician’s or other healer’s conduct in connection with defense of or resistance to malpractice action as ground for revocation of license or other disciplinary action. 44 A.L.R.4th 248.

Physicians or other healers, conviction of unrelated offense as ground for disciplinary actions. 34 A.L.R.4th 609.

Privilege of statements by physician, surgeon, or nurse concerning patient. 73 A.L.R. 325; 81 A.L.R. 933.

Sponges in operation, nurse’s mistake in counting. 10 A.L.R.3d 9.

5-34-24.1. Nondisciplinary alternative.

  1. The board of nurse registration and nursing education may provide for a nondisciplinary alternative in situations involving alcohol and drug abuse, or any mental illness as listed in the most recent revised publication or the most updated volume of either the Diagnostic and Statistical Manual of Mental Disorders (DSM) published by the American Psychiatric Association or the International Classification of Disease Manual (ICO) published by the World Health Organization and that substantially limits the life activities of the person with the illness; provided, that the nurse agrees to voluntarily participate in a program of treatment and rehabilitation.
  2. All records pertaining to a nurse’s participation in the non-disciplinary program are confidential and not subject to discovery, subpoena, or public disclosure. Information related to the nondisciplinary program shall be provided to the nurse’s employer to ensure adequate worksite monitoring and compliance.

History of Section. P.L. 1995, ch. 43, § 2; P.L. 1995, ch. 198, § 1; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2.

5-34-24.2. Immunity.

  1. The director of the department of health, director of nursing registration and education, board members, and their agents and employees shall be immune from suit in any action, civil or criminal, based on any disciplinary proceeding or other official act performed in good faith in the course of their duties under this chapter. There is no civil liability on the part of, or cause of action of any nature against, the board, director, their agents, or their employees or against any organization or its members, peer-review board, or its members, or other witnesses and parties to board proceedings for any statements made in good faith by them in any reports, communications, or testimony concerning an investigation by the board of the conduct or regarding the competence of a licensed nurse.
  2. No licensed healthcare provider, physician, or limited registrant may discharge, threaten, or discriminate against an employee, staff member, or any other person for making a report to, giving testimony to, or providing any other communication to the board, a peer-review organization, or any appropriate supervisory personnel concerning the unprofessional conduct or incompetence or negligence of a nurse; provided, that the report, testimony, or other communication was made in good faith.

History of Section. P.L. 2003, ch. 125, § 3; P.L. 2003, ch. 138, § 3.

Repealed Sections.

Former § 5-34-24.2 (P.L. 1995, ch. 43, § 2; P.L. 1995, ch. 198, § 1), concerning criteria which disqualify a nurse from participating in a nondisciplinary substance abuse program, was repealed by P.L. 2003, ch. 125, § 4, effective July 9, 2003.

5-34-24.3. [Repealed.]

History of Section. P.L. 1995, ch. 43, § 2; P.L. 1995, ch. 198, § 1; Repealed by P.L. 2003, ch. 125, § 4, effective July 9, 2003.

Compiler’s Notes.

Former § 5-34-24.3 concerned criteria for admission to the nondisciplinary program.

5-34-24.4. [Repealed.]

History of Section. P.L. 1995, ch. 43, § 2; P.L. 1995, ch. 198, § 1; Repealed by P.L. 2003, ch. 125, § 4, effective July 9, 2003.

Compiler’s Notes.

Former § 5-34-24.4 concerned the nondisciplinary program advisory panel.

5-34-25. Procedure for discipline of licensees.

  1. Upon filing a timely sworn complaint within a time period the board considers reasonable with the board charging a person with having been guilty of any of the actions specified in § 5-34-24 , two (2) or more members of the board of nurse registration and nursing education immediately shall investigate those charges, or the board, after investigation, may institute charges.
  2. In the event that investigation, in the opinion of the board, reveals reasonable grounds for believing the applicant or licensee is guilty of the charges, the board shall notify the licensee of the charges and the time and place for a hearing at least twenty (20) days prior to the time fixed for the hearing. At the hearing, the accused has the right to appear personally, or by counsel, or both, to produce witnesses, and to have subpoenas issued by the board. The attendance of witnesses and the production of books, documents, and papers at the hearing may be compelled by subpoenas issued by the board, which shall be served in accordance with the law. At the hearing, the board shall administer oaths that may be necessary for the proper conduct of the hearing. The board is not bound by the strict rules of procedure or by the laws of evidence in the conduct of its proceedings, but the determination shall be based upon sufficient legal evidence to sustain it. The board shall complete the investigation of each complaint and issue a decision within six (6) months of the receipt of the complaint. The board may extend the time for issuing its decision beyond the initial six-month (6) period in documented cases in which delays in the process are the direct result of requests or actions by the accused and/or his or her representative(s) or other good cause. The board, on a case-by-case basis, for good cause shown in writing, may extend the time for issuing its decision. If the accused is found guilty of the charges, the board may revoke, suspend, or otherwise discipline a licensee.
  3. All hearings held under this section shall be conducted in accordance with the provisions of chapter 35 of title 42, “administrative procedures act.”

History of Section. P.L. 1982, ch. 328, § 2; P.L. 1999, ch. 187, § 1; P.L. 2001, ch. 206, § 1; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2.

5-34-26. Grounds for discipline without a hearing.

The director may temporarily suspend the license of a nurse without a hearing if the director finds that evidence in his or her possession indicates that a nurse’s continuation in practice would constitute an immediate danger to the public. In the event that the director temporarily suspends the license of a nurse without a hearing, a hearing by the board must be held within ten (10) days after the suspension has occurred.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2.

5-34-27. [Repealed.]

History of Section. P.L. 1982, ch. 328, § 2; Repealed by P.L. 1983, ch. 253, § 14.

Compiler’s Notes.

Former § 5-34-27 concerned rehearing by board.

5-34-28. Appeals from board.

An appeal from any decision or order of the board may be taken by any aggrieved party to the superior court in the manner provided for in chapter 35 of title 42.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 1983, ch. 253, § 13.

5-34-29. Penalty for violations.

  1. It is a misdemeanor for any person, firm, corporation, or association to:
    1. Sell or fraudulently obtain or furnish any nursing diploma, license, or record or aid or abet in this;
    2. Practice nursing as defined by this chapter and under cover of any diploma, license, or record illegally or fraudulently obtained, or signed, or issued unlawfully or under fraudulent representation;
    3. Practice nursing as defined by this chapter unless licensed to do so under the provisions of this chapter;
    4. Use in connection with his or her name any designation tending to imply that he or she is a professional nurse or a licensed practical nurse unless licensed to practice under the provisions of this chapter;
    5. Practice nursing during the time his or her license issued under the provisions of this chapter is suspended or revoked;
    6. Conduct a basic, professional nursing education program or a practical nursing education program unless it has been approved by the board of nurse registration and nursing education; and
    7. Violate any of the provisions of this chapter.
  2. The misdemeanor is punishable by a fine of not less than three hundred dollars ($300) for the first offense. Each subsequent offense is punishable by a fine of not less than five hundred dollars ($500), or by imprisonment of not more than one year, or by both the fine and imprisonment.

History of Section. P.L. 1982, ch. 328, § 2.

NOTES TO DECISIONS

Revocation of License.

Where a registered nurse was granted a hearing on the matter of revocation of license and where there was sufficient evidence to authorize a revocation of license, she was not deprived of property rights without due process of law. Stefanik v. Nursing Educ. Comm., 70 R.I. 136 , 37 A.2d 661, 1944 R.I. LEXIS 26 (1944).

Collateral References.

Revocation of nurse’s license to practice profession. 55 A.L.R.3d 1141.

5-34-30. Injunction of violations.

When it appears to the board of nurse registration and nursing education that any person is violating any of the provisions of this chapter, the director of the department of health may cause an action to be instituted, commenced in the name of the board, to enjoin that violation in a court of competent jurisdiction, and that court may enjoin any person, firm, corporation, or association from violating any of the provisions of this chapter without regard to whether proceedings have been or may be instituted before the board or whether criminal proceedings have been or may be instituted.

History of Section. P.L. 1982, ch. 328, § 2.

5-34-31. Practices and persons exempt.

No provisions of this chapter shall be construed as prohibiting:

  1. Gratuitous nursing by friends or members of the family or as prohibiting the care of the sick by domestic servants, housekeepers, nursemaids, companions, or household aides of any type, whether employed regularly or because of an emergency of illness, provided that person is employed primarily in a domestic capacity and does not hold himself or herself out or accept employment as a person licensed to practice nursing for hire under the provisions of this chapter or as prohibiting nursing assistants in the case of any emergency;
  2. The practice of nursing by students enrolled in approved educational programs of professional nursing or practical-nursing educational programs nor by graduates of those schools or courses pending the results of the licensing examinations following that graduation, provided that they are licensed in this state within ninety (90) days from the date on the application fee receipt, in accordance with regulations prescribed by the board;
  3. The practice of nursing in this state by any legally qualified nurse of another state whose engagement requires him or her to accompany and care for a patient temporarily residing in this state during the period of this engagement not to exceed six (6) months in length, provided that person does not represent or hold himself or herself out as a nurse licensed to practice in this state;
  4. The practice of any legally qualified nurse of another state who is employed by the United States government or any bureau, division, or agency of the government while in the discharge of his or her official duties;
  5. Persons employed in state and licensed hospitals and sanatoria, licensed homes for the aged and/or convalescent persons, and recognized public-health agencies from assisting in the nursing care of patients if adequate medical or nursing supervision is provided;
  6. Nursing care of the sick with or without compensation or personal profit when done in connection with the practice of the religious tenets of any recognized or established church by adherents as long as they do not engage in the practice of nursing as defined in this chapter;
  7. Persons who provide acceptable evidence of being currently licensed by examination or endorsement under the laws of other states of the United States and the District of Columbia from practicing nursing in this state for a period of ninety (90) days from the date on the application fee receipt, provided that they are licensed in this state within ninety (90) days from the date on the application fee receipt. The original privilege to work ninety (90) days from the date on the application fee receipt shall not be extended or renewed.

History of Section. P.L. 1982, ch. 328, § 2; P.L. 1993, ch. 93, § 1; P.L. 1993, ch. 303, § 1; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2.

5-34-31.1. Practices and persons exempt — COVID-19.

  1. Notwithstanding the provisions of § 5-34-31 , or any general law, rule, or regulation to the contrary, upon the effective date of this section, March 28, 2022, due to the public health crisis caused by COVID-19, the exemption in § 5-34-31 (2) relating to the practice of nursing “pending the results of the licensing examinations following that graduation” is hereby suspended for registered nurse graduates; provided that, the registered nurse graduates shall:
    1. Apply and receive a temporary graduate nursing license that is valid for a period not exceeding ninety (90) days;
    2. Work under the supervision of licensed registered nurses; and
    3. Comply with other applicable requirements.
  2. The Rhode Island department of health shall promulgate and enforce any rules and regulations necessary to implement this section.
  3. Unless extended by the general assembly, this section shall sunset on June 30, 2022.

History of Section. P.L. 2022, ch. 7, § 5, effective March 28, 2022; P.L. 2022, ch. 8, § 5, effective March 28, 2022.

Compiler’s Notes.

P.L. 2022, ch. 7, § 5, and P.L. 2022, ch. 8, § 5 enacted identical versions of this section.

5-34-32. Enforcement of chapter.

The director of health shall enforce the provisions of this chapter. He or she is exempt from providing surety for costs in connection with the commencement of any legal proceedings pursuant to this chapter.

History of Section. P.L. 1982, ch. 328, § 2.

5-34-33. Severability.

The provisions of this chapter are severable and, if any of the provisions of this chapter are held unconstitutional by any court of competent jurisdiction, the decision of that court shall not affect or impair any of the remaining provisions.

History of Section. P.L. 1982, ch. 328, § 2.

5-34-34. Immunity from liability for gratuitous emergency assistance.

No person licensed under the provision of this chapter or members of the same professions licensed to practice in other states of the United States who voluntarily and gratuitously and, other than in the ordinary course of his or her employment or practice, renders emergency medical assistance to a person in need is liable for civil damages for any personal injuries that result from acts or omissions by those persons in rendering the emergency care that may constitute ordinary negligence. The immunity granted by this section does not apply to acts or omissions constituting gross, willful, or wanton negligence or when the medical assistance is rendered at any hospital, doctor’s office, or clinic where those services are normally rendered.

History of Section. P.L. 1982, ch. 328, § 2.

Collateral References.

Modern status of sudden emergency doctrine. 10 A.L.R.5th 680.

5-34-35. [Repealed.]

History of Section. P.L. 1990, ch. 162, § 2; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2; Repealed by P.L. 2013, ch. 83, § 3, effective June 17, 2013; P.L. 2013, ch. 93, § 3, effective June 17, 2013.

Compiler’s Notes.

Former § 5-34-35 concerned qualifications of a certified registered nurse practitioner applicant.

5-34-36. [Repealed.]

History of Section. P.L. 1990, ch. 162, § 2; P.L. 1998, ch. 48, § 1; Repealed by P.L. 2013, ch. 83, § 3, effective June 17, 2013; P.L. 2013, ch. 93, § 3, effective June 17, 2013.

Compiler’s Notes.

Former § 5-34-36 concerned licensing of certified registered nurse practitioners.

5-34-37. Application fee for certified registered nurse practitioners.

The initial application fee for licensure as a certified registered nurse practitioner, the renewal fee for a certified registered nurse practitioner, and the fee for application for prescriptive privileges shall be as set forth in § 23-1-54 .

History of Section. P.L. 1990, ch. 162, § 2; P.L. 1993, ch. 138, art. 71, § 14; P.L. 2001, ch. 77, art. 14, § 9; P.L. 2007, ch. 73, art. 39, § 7; P.L. 2012, ch. 241, art. 9, § 8.

5-34-38. Right to use certified registered nurse practitioner title.

Any person who holds a license to practice as a certified registered nurse practitioner in this state has the right to use the title certified registered nurse practitioner and use the abbreviation “R.N.P..” No other person may assume that title or use that abbreviation or any other words or letters, signs, figures, or devices to indicate that the person using it is a certified registered nurse practitioner.

History of Section. P.L. 1990, ch. 162, § 2.

5-34-39. [Repealed.]

History of Section. P.L. 1990, ch. 162, § 2; P.L. 1991, ch. 210, § 1; P.L. 1994, ch. 186, § 1; P.L. 1996, ch. 429, § 1; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2; P.L. 2008, ch. 124, § 1; P.L. 2008, ch. 186, § 1; Repealed by P.L. 2013, ch. 83, § 3, effective June 17, 2013; P.L. 2013, ch. 93, § 3, effective June 17, 2013.

Compiler’s Notes.

Former § 5-34-39 concerned process for prescriptive privileges of a certified registered nurse practitioner.

5-34-40. Advanced practice nurse advisory committee.

  1. The seven-member (7) committee consists of two (2) certified nurse practitioners, two (2) certified registered nurse anesthetists, two (2) certified clinical nurse specialists, and one consumer. The director of health shall appoint the committee. In making appointments to the committee, the director shall consider persons recommended by professional nurse organizations and professional medical associations. The professional members of the committee shall be currently engaged in practice. The consumer members shall be: (1) Knowledgeable in consumer health concerns; (2) A resident of the state; (3) Not licensed as a healthcare practitioner; (4) Not a parent, spouse, sibling, or child of a person licensed as a healthcare practitioner and not a student in a professional program; (5) Not having a direct financial interest in healthcare services; and (6) Not a member or an employee of any board of control of any public or private healthcare service.
  2. Each member appointment shall be for three (3) years, with no member serving more than two (2) consecutive, three-year (3) terms, except that in making the initial appointments, the director designates: four (4) members for a term of two (2) years; three (3) members for a term of three (3) years; and the consumer members for three-year (3) terms.
  3. This committee must meet not fewer than two (2) times per year. The committee has the following functions:
    1. To assess advanced nursing practice for the purpose of improving patient care.
      1. To review all complaints regarding advanced practice nurses and recommend any and all disciplinary or corrective action that it deems appropriate, including revocation and suspension of license upon proof that an advanced practice nurse has:
        1. Aided or abetted an uncertified person to practice as an advanced practice nurse;
        2. Become addicted to the use of liquor or controlled substances;
        3. Negligently, willfully, or intentionally acted in a manner inconsistent with the health and safety of persons entrusted to his or her care;
        4. Had his or her authorization to practice as an advanced practice nurse denied, revoked, or suspended in another state;
        5. Engaged in the performance of medical functions beyond the scope of practice authorized by the provisions of this chapter;
        6. Willfully failed to file or record medical records and reports;
        7. Mental incompetence; or
        8. Willfully failed to maintain standards established by the nursing profession.
      2. The recommendation shall be submitted to the board of nursing for implementation.
    2. To advise periodically the board of nurse registration and nursing education regarding advanced nurse practice.

History of Section. P.L. 1990, ch. 162, § 2; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2; P.L. 2004, ch. 151, § 1; P.L. 2004, ch. 164, § 1; P.L. 2013, ch. 83, § 1; P.L. 2013, ch. 93, § 1; P.L. 2014, ch. 528, § 3.

5-34-40.1. [Repealed.]

History of Section. P.L. 2003, ch. 125, § 3; P.L. 2003, ch. 138, § 3; Repealed by P.L. 2013, ch. 83, § 3, effective June 17, 2013; P.L. 2013, ch. 93, § 3, effective June 17, 2013.

Compiler’s Notes.

Former § 5-34-40.1 concerned qualifications of a psychiatric and mental health clinical nurse specialist applicant.

5-34-40.2. [Repealed.]

History of Section. P.L. 2003, ch. 125, § 3; P.L. 2003, ch. 138, § 3; Repealed by P.L. 2013, ch. 83, § 3, effective June 17, 2013; P.L. 2013, ch. 93, § 3, effective June 17, 2013.

Compiler’s Notes.

Former § 5-34-40.2 concerned licensing of psychiatric and mental health clinical nurse specialists.

5-34-40.3. [Repealed.]

History of Section. P.L. 2003, ch. 125, § 3; P.L. 2003, ch. 138, § 3; P.L. 2007, ch. 73, art. 39, § 7; P.L. 2012, ch. 241, art. 9, § 8; Repealed by P.L. 2013, ch. 83, § 3, effective June 17, 2013; P.L. 2013, ch. 93, § 3, effective June 17, 2013.

Compiler’s Notes.

Former § 5-34-40.3 concerned application fee for psychiatric and mental health clinical nurse specialists.

5-34-40.4. [Repealed.]

History of Section. P.L. 2003, ch. 125, § 3; P.L. 2003, ch. 138, § 3; Repealed by P.L. 2013, ch. 83, § 3, effective June 17, 2013; P.L. 2013, ch. 93, § 3, effective June 17, 2013.

Compiler’s Notes.

Former § 5-34-40.4 concerned right to use psychiatric and mental health clinical nurse specialist title.

5-34-41. [Repealed.]

History of Section. P.L. 1997, ch. 261, § 2; P.L. 2003, ch. 125, § 2; P.L. 2003, ch. 138, § 2; Repealed by P.L. 2013, ch. 83, § 3, effective June 17, 2013; P.L. 2013, ch. 93, § 3, effective June 17, 2013.

Compiler’s Notes.

Former § 5-34-41 concerned process for prescriptive privileges of psychiatric and mental health clinical nurse specialist.

5-34-42. Global signature authority of certified registered nurse practitioners.

Whenever any provision of the general or public law or regulation requires a signature, certification, stamp, verification, affidavit, or endorsement by a physician, it shall be deemed to include a signature, certification, stamp, verification, affidavit, or endorsement by a certified registered nurse practitioner; provided, however, that nothing in this section shall be construed to expand the scope of practice of nurse practitioners.

History of Section. P.L. 2006, ch. 130, § 1; P.L. 2006, ch. 156, § 1.

5-34-43. Criminal records review.

  1. Notwithstanding any provision of law to the contrary contained in any general or public law, rule, or regulation, any person seeking a license to practice under this chapter, or who is previously licensed and authorized to practice under this chapter and is seeking employment, shall undergo a federal and statewide criminal background check (BCI) that shall be processed prior to receiving a license to practice or to enter into employment.
  2. The applicant shall apply to the bureau of criminal identification for a national criminal records check that shall include fingerprints submitted to the Federal Bureau of Investigation. Upon the discovery of any disqualifying information, the bureau of criminal identification will inform the applicant in writing of the nature of the disqualifying information and, without disclosing the nature of the disqualifying information, will notify the licensing agency or the potential employer in writing that disqualifying information has been discovered.
  3. The applicant against whom disqualifying information has been found may request that a copy of the criminal background report be sent to the licensing agency or the potential employer. The licensing agency or the potential employer shall make a judgment regarding the issuing of a license.
  4. In those situations in which no disqualifying information has been found, the bureau of criminal identification shall inform the applicant and the licensing agency or the potential employer in writing of this fact.
  5. It shall be the responsibility of the applicant to pay for the criminal records check.

History of Section. P.L. 2011, ch. 238, § 1; P.L. 2011, ch. 266, § 1; P.L. 2014, ch. 528, § 3.

5-34-44. Advanced practice registered nurses as independent practitioners.

APRNs are licensed, independent practitioners within standards established or recognized by the board of nursing. Each APRN is accountable to patients, the nursing profession, and the board of nursing for:

  1. Complying with the requirements of this chapter and the quality of advanced nursing care rendered;
  2. Recognizing limits of knowledge and experience;
  3. Planning for the management of situations beyond the APRN’s expertise;
  4. Consulting with or referring patients to other licensed healthcare providers as appropriate.
  5. In the case of CRNAs, complying with the requirements of chapter 34.2 of this title, including § 5-34.2-5(b) regarding scope of practice. In the case of any conflict between this chapter and chapter 34.2 of this title with regard to the licensure and practice of CRNAs, chapter 34.2 of this title shall control.

History of Section. P.L. 2013, ch. 83, § 2; P.L. 2013, ch. 93, § 2; P.L. 2014, ch. 528, § 3.

5-34-45. Licensure of APRNs.

  1. An applicant for initial licensure to practice as an APRN shall:
    1. Submit a completed, written application and appropriate fees as established by the board of nursing;
    2. Hold a current RN license or privilege to practice and shall not hold an encumbered license or privilege to practice as an RN in any state or territory;
    3. Have completed an accredited graduate or postgraduate level APRN program in one of the three roles (RNP, CRNA, or CNS) and at least one population focus;
    4. Be currently certified by a national certifying body recognized by the board of nursing in the APRN role and population foci appropriate to educational preparation;
    5. Report any criminal conviction, nolo contendere plea, Alford plea, or other plea arrangement in lieu of conviction;
    6. Have committed no acts or omissions that are grounds for disciplinary action as set forth in this chapter; and
    7. Provide other evidence as required by regulation.
  2. The board of nursing may issue an initial APRN license to clinical nurse specialists without a certification exam when:
    1. A national certification exam does not exist for the current population foci; and
    2. The applicant has submitted a portfolio to the board of nursing that includes proof of graduation; course descriptions; official transcript that includes courses in pharmacology, pathophysiology, and physical assessment; and letters of recommendation from his/her employer attesting to the CNS’s practice at the advanced-practice level.
  3. After January 1, 2015, all clinical nurse specialists seeking initial licensure as an APRN must meet all the criteria as stated in this chapter, including national certification in a role and population foci recognized by the board of nursing.
  4. The board of nursing may issue a license by endorsement to an APRN licensed under the laws of another state if, in the opinion of the board of nursing, the applicant meets the qualifications for licensure in this jurisdiction. An applicant for APRN licensure by endorsement shall:
    1. Submit a completed, written application and appropriate fees as established by the board of nursing;
    2. Hold a current license or privilege to practice as an RN and APRN in a state or territory;
    3. Have an unencumbered license or privilege to practice in any state or territory;
    4. Have completed an accredited graduate or postgraduate level APRN program in one of the three roles (CNP, CRNA, or CNS) and at least one population focus or meets the standards for grandfathering as described in this chapter;
    5. Be currently certified by a national certifying body recognized by the board of nursing in the APRN role and at least one population focus appropriate to educational preparation;
    6. Meet continued competency requirements as set forth in board of nursing regulations;
    7. Report any conviction, nolo contendere plea, Alford plea, or other plea arrangement in lieu of conviction;
    8. Have committed no acts or omissions that are grounds for disciplinary action in another jurisdiction; and
    9. Provide other evidence as required by the board of nursing in its regulations.
  5. APRN licenses issued under this chapter shall be renewed every two (2) years according to a schedule established by the board of nursing. An applicant for APRN license renewal shall:
    1. Submit a renewal application as directed by the board of nursing and remit the required fee as set forth in regulation;
    2. Maintain national certification in the appropriate APRN role and at least one population focus, authorized by licensure, through an ongoing recertification maintenance program of a nationally recognized certifying body recognized by the board of nursing; and
    3. Meet other requirements set forth in regulations.
  6. The board of nursing may reactivate or reinstate an APRN license as set forth in board of nursing regulation.

History of Section. P.L. 2013, ch. 83, § 2; P.L. 2013, ch. 93, § 2; P.L. 2014, ch. 528, § 3.

5-34-46. Status of current licensees.

  1. Any person holding a license to practice nursing as a certified nurse practitioner, psychiatric clinical nurse specialist, or certified registered nurse anesthetist, as defined in this chapter and chapter 34.2 of this title, in this state that is valid upon passage of this chapter shall be deemed to be licensed as an APRN, with his or her current privileges and shall be eligible for renewal of such license as defined under the provisions of this chapter and chapter 34.2 of this title.
  2. Any person holding a valid license to practice nursing having graduated from an accredited course of study, actively practicing in an advanced role, and holding a national certification related to his or her current practice setting as of the effective date of this act, as defined in this chapter or chapter 34.2 of this title, shall be deemed to be eligible for an APRN license.
  3. After August 1, 2013, all new applicants for APRN licensure must meet the stipulated licensure requirements as stated in this chapter.

History of Section. P.L. 2013, ch. 83, § 2; P.L. 2013, ch. 93, § 2; P.L. 2019, ch. 308, art. 1, § 14.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-34-47. Titles and abbreviations.

  1. Only those persons who hold a license or privilege to practice as advanced practice registered nurses in this state shall have the right to use the title “advanced practice registered nurse” and the roles of “certified registered nurse anesthetist,” “clinical nurse specialist,” and “certified nurse practitioner”; and the abbreviations “APRN,” “CRNA,” “CNS,” and “CNP” respectively.
  2. The abbreviation for the APRN designation of a certified registered nurse anesthetist, a clinical nurse specialist, and for a certified nurse practitioner will be APRN, plus the role title, i.e., CRNA, CNS, and CNP.

History of Section. P.L. 2013, ch. 83, § 2; P.L. 2013, ch. 93, § 2.

5-34-48. APRN education programs.

  1. The standards for the establishment and outcomes of APRN education programs, including clinical learning experiences, shall be set by APRN national accrediting agencies recognized by the U.S. Department of Education and the Council for Higher Education Accreditation.
  2. Compliance with the standards for the APRN program will be evidenced by official certification of accreditation by the appropriate national accrediting agency, a copy of which shall be submitted to the Board of Nursing. The Board of Nursing will act as the sole custodian of record for any and all documentation used to demonstrate such certification by the appropriate national accrediting agency.

History of Section. P.L. 2013, ch. 83, § 2; P.L. 2013, ch. 93, § 2.

5-34-49. Prescriptive authority.

  1. The board of nursing shall grant prescribing, ordering, dispensing, and furnishing authority.
  2. An APRN licensed by the board of nursing may prescribe, order, procure, administer, dispense, and furnish over-the-counter, legend, and controlled substances pursuant to applicable state and federal laws, when the APRN has completed an educational program as described in this chapter that includes courses in pathophysiology, pharmacology, and physical assessment and is within the APRN’s role and population focus.
  3. Prescribing, ordering, dispensing, and furnishing shall include the authority to:
    1. Diagnose, prescribe, and institute therapy or referrals of patients to healthcare agencies, healthcare providers, and community resources;
    2. Prescribe, procure, administer, dispense, and furnish pharmacological agents, including over-the-counter, legend, and controlled substances; and
    3. Plan and initiate a therapeutic regimen that includes ordering and prescribing non-pharmacological interventions, including, but not limited to, durable medical equipment, medical devices, nutrition, blood and blood products, and diagnostic and supportive services including, but not limited to, home health care, hospice, and physical and occupational therapy.
  4. Prescriptive privileges for the certified nurse practitioner shall include all the authority under the APRN license including:
    1. Prescription of legend medications and prescription of controlled substances from Schedules II, III, IV, and V that are established in regulation; and
    2. May be certified to prescribe controlled substances from Schedule I.
  5. Prescriptive privileges for APRNs with the population focus of psychiatric/mental health:
    1. Shall include prescription of certain psychotropic and certain legend medications, controlled substances from Schedule II classified as stimulants, and controlled substances from Schedule III and IV that are prescribed in regulations;
    2. Shall not include controlled substances from Schedules I, II, and V and those certain legend medications not included in subsection (e)(1).
  6. CRNAs may be granted prescriptive privileges in accordance with the provisions of chapter 34.2 of this title.
  7. Prescriptive privileges for certified clinical nurse specialist shall include:
    1. Diagnosing, prescribing, and instituting therapy or referrals of patients to healthcare agencies, healthcare providers, and community resources; and
    2. Planning and initiating a therapeutic regimen that includes ordering and prescribing non-pharmacological interventions, including, but not limited to, durable medical equipment, medical devices, nutrition, blood and blood products, and diagnostic and supportive services including, but not limited to, home health care, hospice, and physical and occupational therapy; and
    3. Prescription of over-the-counter medications within their population foci.

History of Section. P.L. 2013, ch. 83, § 2; P.L. 2013, ch. 93, § 2.

Chapter 34.1 Nursing Pools [Repealed.]

5-34.1-1 — 5-34.1-10. [Repealed.]

Repealed Sections.

This chapter (P.L. 1991, ch. 368, § 4, P.L. 2004, ch. 322, § 1; P.L. 2004, ch. 377, § 1), concerning nursing pools, was repealed by P.L. 2005, ch. 127, § 1 and P.L. 2005, ch. 168, § 1, effective January 1, 2006. Former §§ 5-34.1-1 — 5-34.1-6 (P.L. 1988, ch. 186, § 1; P.L. 1989, ch. 100, § 1), concerning the definition of “nursing pool,” registration and rules governing nursing pools, nursing pool employees and identification, penalties for operating unregistered pools, injunctions against operation of unregistered pools, and exemptions, were previously repealed by P.L. 1991, ch. 224, § 1, effective June 17, 1991.

Chapter 34.2 Nurse Anesthetists

5-34.2-1. Scope.

The provisions of this chapter shall govern the licensure requirements and practice standards for nurse anesthetists practicing in the state.

History of Section. P.L. 1991, ch. 265, § 1; P.L. 1992, ch. 435, § 1.

5-34.2-2. Definitions.

  1. “Board” means the board of nurse registration and nurse education established in § 5-34-4 .
  2. “Certified registered nurse anesthetist” (CRNA) means a registered nurse who has successfully met the requirements stated in this chapter.
  3. “Practice of certified registered nurse anesthesia” means providing certain healthcare services in collaboration with anesthesiologists, licensed physicians, or licensed dentists in accordance with § 5-31.1-1(17) which requires substantial specialized knowledge, judgment, and skill related to the administration of anesthesia, including preoperative and postoperative assessment of patients; administering anesthetics; monitoring patients during anesthesia; management of fluid in intravenous therapy; and management of respiratory care. It also includes, in connection with the immediate perioperative care of a patient, the ability to issue a medication order for drugs or medications to be administered by a licensed, certified, or registered healthcare provider; to order and evaluate laboratory and diagnostic test results and perform point-of-care testing that the CRNA is qualified to perform; and order and evaluate radiographic imaging studies that the CRNA is qualified to order and interpret. For the purposes of this section, the immediate perioperative care of a patient shall be defined as the period commencing on the day prior to surgery and ending upon discharge of the patient from post-anesthesia care. CRNAs shall comply with the requirements set forth in this chapter, including § 5-34.2-5(b) regarding scope of practice, and the requirements set forth in chapter 34 of this title, as applicable. In the case of any conflict between this chapter and chapter 34 of this title with regard to the licensure and practice of CRNAs, this chapter shall control.

History of Section. P.L. 1991, ch. 265, § 1; P.L. 1992, ch. 435, § 1; P.L. 2005, ch. 410, § 3; P.L. 2013, ch. 83, § 4; P.L. 2013, ch. 93, § 4.

5-34.2-3. Requirements for licensure of the nurse anesthetist.

Requirements for licensure as a nurse anesthetist shall consist of the following:

  1. Current licensure as a professional registered nurse in the state; and
  2. Graduation from an educational program accredited by the Council on Accreditation of Nurse Anesthesia Education Programs or its predecessors or successors, and that has as its objective preparation of nurses to practice nurse anesthesia; and
  3. Initial certification by the American Association of Nurse Anesthetists Council on Certification of Nurse Anesthetists and Recertification, as applicable by the American Association of Nurse Anesthetists Council on Recertification of Nurse Anesthetists or their predecessors or successors.
  4. [Deleted by P.L. 2013, ch. 83, § 4 and P.L. 2013, ch. 93, § 4].
  5. The requirements stated in subsections (2) and (3) of this section do not apply to a professional registered nurse who practices nursing in accordance with the provisions of the Nurse Practice Act, chapter 34 of this title, and who is enrolled as a bona fide student in an accredited nurse anesthesia program providing nurse anesthesia under the supervision of a certified registered nurse anesthetist or anesthesiologist.
  6. Beginning July 21, 1992, all nurse anesthetists shall be afforded the same period of time to become licensed. Notwithstanding the provisions of this section, no person practicing as a nurse anesthetist in Rhode Island on July 1, 1991, shall be required to obtain proper certification under this chapter. However, as required by subsection (3) of this section, persons who become certified under this section shall become recertified as applicable.

History of Section. P.L. 1991, ch. 265, § 1; P.L. 1992, ch. 435, § 1; P.L. 1999, ch. 200, § 1; P.L. 2013, ch. 83, § 4; P.L. 2013, ch. 93, § 4; P.L. 2019, ch. 178, § 1; P.L. 2019, ch. 212, § 1.

Compiler’s Notes.

P.L. 2019, ch. 178, § 1, and P.L. 2019, ch. 212, § 1 enacted identical amendments to this section.

5-34.2-4. Duties of board.

  1. Applications.  Applicants for licensure shall submit appropriate certification credentials, as described in § 5-34.2-3 , plus an application fee (not refundable) made payable to the general treasurer, state of Rhode Island, as set forth in § 23-1-54 .
  2. Renewal.  Licensure as a nurse anesthetist shall be renewed during the same period as the professional registered nurses license to practice in Rhode Island. Renewal fee for a nurse anesthetists license shall be as set forth in § 23-1-54 .
  3. Revocations, suspension, or refusal to renew licensure.  The board may revoke, suspend, or refuse to renew the licensure of any nurse anesthetist, if the board finds that the person fails to meet the requirements for practice as a nurse anesthetist specified in either this chapter or board regulation.
  4. Announcement of practice.  No person may practice or advertise as a nurse anesthetist or use other words, letters, signs, figures, or devices to indicate that the person is a certified registered nurse anesthetist, CRNA, until the person has first been licensed by the board.

History of Section. P.L. 1991, ch. 265, § 1; P.L. 1992, ch. 435, § 1; P.L. 2001, ch. 77, art. 14, § 10; P.L. 2007, ch. 73, art. 39, § 8; P.L. 2012, ch. 241, art. 9, § 9.

5-34.2-5. Accountability — Scope of practice.

  1. Accountability.  The nurse anesthetist shall be responsible and accountable to the consumer for his or her practice of nurse anesthesia as defined under this chapter.
  2. Scope of practice.  The governing board of a licensed hospital or, in the case of a clinic or office a licensed anesthetist, physician, or dentist, shall determine the scope of practice of the nurse anesthetists. All responsibilities shall be in writing in the form prescribed by hospital or office policy. Additionally, nurse anesthetists shall practice in accordance with the current American Association of Nurse Anesthetists guidelines for nurse anesthesia practice if the nurse anesthetists guidelines for nurse anesthesia practice neither violate nor contradict hospital, clinic, or physician- or dentist-office bylaws, rules, regulations, and policies, nor this chapter.

History of Section. P.L. 1991, ch. 265, § 1; P.L. 1992, ch. 435, § 1.

5-34.2-6. [Repealed.]

History of Section. P.L. 1991, ch. 265, § 1; P.L. 1992, ch. 435, § 1; Repealed by P.L. 2004, ch. 151, § 2, effective June 26, 2004; P.L. 2004, ch. 164, § 2, effective June 26, 2004.

Compiler’s Notes.

Former § 5-34.2-6 concerned the advisory committees for nurse anesthetists.

Chapter 34.3 Nurse Licensure Compact

5-34.3-1. Short title.

This chapter may be cited as the “Nurse Licensure Compact Act.”

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

5-34.3-2. The Nurse Licensure Compact.

The nurse licensure compact is hereby adopted and entered into with all other jurisdictions that legally join in the compact, which is, in form, substantially similar to this chapter.

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

5-34.3-3. Legislative findings.

  1. The general assembly finds and declares that:
    1. The health and safety of the public are affected by the degree of compliance with and the effectiveness of enforcement activities related to state nurse licensure laws;
    2. Violations of nurse licensure and other laws regulating the practice of nursing may result in injury or harm to the public;
    3. The expanded mobility of nurses and the use of advanced communication technologies as part of our nation’s healthcare delivery system require greater coordination and cooperation among states in the areas of nurse licensure and regulations;
    4. New practice modalities and technology make compliance with individual state nurse licensure laws difficult and complex; and
    5. The current system of duplicative licensure for nurses practicing in multiple states is cumbersome and redundant to both nurses and states.
  2. The general purposes of this compact are to:
    1. Facilitate the states’ responsibility to protect the public’s health and safety;
    2. Ensure and encourage the cooperation of party states in the areas of nurse licensure and regulation;
    3. Facilitate the exchange of information between party states in the areas of nurse regulation, investigation and adverse actions;
    4. Promote compliance with the laws governing the practice of nursing in each jurisdiction; and
    5. Invest all party states with the authority to hold a nurse accountable for meeting all state practice laws in the state in which the patient is located at the time care is rendered through the mutual recognition of party state licenses.

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

5-34.3-4. Definitions.

As used in this chapter:

  1. “Adverse action” means a home or remote state action.
  2. “Alternative program” means a voluntary, nondisciplinary monitoring program approved by a nurse licensing board.
  3. “Coordinated licensure information system” means an integrated process for collecting, storing, and sharing information on nurse licensure and enforcement activities related to nurse licensure laws, which is administered by a nonprofit organization composed of and controlled by state nurse licensing boards.
  4. “Current significant investigative information” means investigative information that a licensing board, after a preliminary inquiry that includes notification and an opportunity for the nurse to respond if required by state law, has reason to believe is not groundless and, if proved true, would indicate more than a minor infraction; or investigative information that indicates that the nurse represents an immediate threat to public health and safety regardless of whether the nurse has been notified and had an opportunity to respond.
  5. “Home state” means the party state which is the nurse’s primary state of residence.
  6. “Home state action” means any administrative, civil, equitable, or criminal action permitted by the home state’s laws which are imposed on a nurse by the home state’s licensing board or other authority including actions against an individual’s license such as: revocation, suspension, probation or any other action which affects a nurse’s authorization to practice.
  7. “Licensing board” means a party state’s regulatory body responsible for issuing nurse licenses.
  8. “Multistate licensure privilege” means current, official authority from a remote state permitting the practice of nursing as either a registered nurse or a licensed practical/vocational nurse in such party state. All party states have the authority, in accordance with existing state due process law, to take actions against the nurse’s privilege such as: revocation, suspension, probation, or any other action which affects a nurse’s authorization to practice.
  9. “Nurse” means a registered nurse or licensed practical/vocational nurse, as those terms are defined by each party’s state practice laws.
  10. “Party state” means any state that has adopted this compact.
  11. “Remote state” means a party state, other than the home state, where the patient is located at the time nursing care is provided, or, in the case of the practice of nursing not involving a patient, in such party state where the recipient of nursing practice is located.
  12. “Remote state action” means any administrative, civil, equitable or criminal action permitted by a remote state’s laws which are imposed on a nurse by the remote state’s licensing board or other authority including actions against an individual’s multistate licensure privilege to practice in the remote state, and cease and desist and other injunctive or equitable orders issued by remote states or the licensing boards thereof.
  13. “State” means a state, territory, or possession of the United States, the District of Columbia.
  14. “State practice laws” means those individual party’s state laws and regulations that govern the practice of nursing, define the scope of nursing practice, and create the methods and grounds for imposing discipline. It does not include the initial qualifications for licensure or requirements necessary to obtain and retain a license, except for qualifications or requirements of the home state.

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

5-34.3-5. Permitted activities and jurisdiction.

  1. A license to practice registered nursing issued by a home state to a resident in that state will be recognized by each party state as authorizing a multistate licensure privilege to practice as a registered nurse in such party state. A license to practice licensed practical/vocational nursing issued by a home state to a resident in that state will be recognized by each party state as authorizing a multistate licensure privilege to practice as a licensed practical/vocational nurse in such party state. In order to obtain or retain a license, an applicant must meet the home state’s qualifications for licensure and license renewal as well as all other applicable state laws.
  2. Party states may, in accordance with state due process laws, limit or revoke the multistate licensure privilege of any nurse to practice in their state and may take any other actions under their applicable state laws necessary to protect the health and safety of their citizens. If a party state takes such action, it shall promptly notify the administrator of the coordinated licensure information system. The administrator of the coordinated licensure information system shall promptly notify the home state of any such actions by remote states.
  3. Every nurse practicing in a party state must comply with the state practice laws of the state in which the patient is located at the time care is rendered. In addition, the practice of nursing is not limited to patient care, but shall include all nursing practice as defined by the state practice laws of a party state. The practice of nursing will subject a nurse to the jurisdiction of the nurse licensing board and courts, as well as the laws, in that party state.
  4. This compact does not affect additional requirements imposed by states for advanced practice registered nursing. However, a multistate licensure privilege to practice registered nursing granted by a party shall be recognized by other party states as a license to practice registered nursing if one is required by state law as a precondition for qualifying for advanced practice registered nurse authorization.
  5. Individuals not residing in a party state shall continue to be able to apply for nurse licensure as provided for under the laws of each party state. However, the license granted to these individuals will not be recognized as granting the privilege to practice nursing in any other party state unless explicitly agreed to by that party state.

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

5-34.3-6. Applications for licensure in a party state.

  1. Upon application for a license, the licensing board in a party state shall ascertain, through the coordinated licensure information system, whether the applicant has ever held, or is the holder of, a license issued by any other state, whether there are any restrictions on the multistate licensure privilege, and whether any other adverse action by any state has been taken against the license.
  2. A nurse in a party state shall hold licensure in only one party state at a time, issued by the home state.
  3. A nurse who intends to change primary state of residence may apply for licensure in the new home state in advance of such change. However, new licenses will not be issued by a party state until after a nurse provides evidence of change in primary state of residence satisfactory to the new home state’s licensing board.
  4. When a nurse changes primary state of residence by;
    1. Moving between two party states, and obtains a license from the new home state, the license from the former home state is no longer valid;
    2. Moving from a non-party state to a party state, and obtains a license from the new home state, the individual state license issued by the non-party state is not affected and will remain in full force if so provided by the laws of the non-party state;
    3. Moving from a party state to a non-party state, the license issued by the prior home state converts to an individual state license, valid only in the former home state, without the multistate licensure privilege to practice in other party states.

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

5-34.3-7. Adverse actions.

In addition to the provisions described in § 5-34.3-5 , the following provisions apply:

  1. The licensing board of a remote state shall promptly report to the administrator of the coordinated licensure information system any remote state actions including the factual and legal basis for such action, if known. The licensing board of a remote state shall also promptly report any significant current investigative information yet to result in a remote state action. The administrator of the coordinated licensure information system shall promptly notify the home state of any such reports.
  2. The licensing board of a party state shall have the authority to complete any pending investigations for a nurse who changes primary state of residence during the course of such investigations. It shall also have the authority to take appropriate action(s), and shall promptly report the conclusions of such investigations to the administrator of the coordinated licensure information system. The administrator of the coordinated licensure information system shall promptly notify the new home state of any such actions.
  3. A remote state may take adverse action affecting the multistate licensure privilege to practice within that party state. However, only the home state shall have the power to impose adverse action against the license issued by the home state.
  4. For purposes of imposing adverse action, the licensing board of the home state shall give the same priority and effect to reported conduct received from a remote state as it would if such conduct had occurred within the home state. In so doing, it shall apply its own state laws to determine appropriate action.
  5. The home state may take adverse action based on the factual findings of the remote state, so long as each state follows its own procedures for imposing such adverse action.
  6. Nothing in this compact shall override a party state’s decision that participation in an alternative program may be used in lieu of licensure action and that such participation shall remain non-public if required by the party state’s laws. Party states must require nurses who enter any alternative programs to agree not to practice in any other party state during the term of the alternative program without prior authorization from such other party state.

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

5-34.3-8. Additional authorities invested in party state nurse licensing boards.

Notwithstanding any other powers, party state nurse licensing boards shall have the authority to:

  1. If otherwise permitted by state law, recover from the affected nurse the costs of investigations and disposition of cases resulting from any adverse action taken against that nurse;
  2. Issue subpoenas for both hearings and investigations which require the attendance and testimony of witnesses, and the production of evidence. Subpoenas issued by a nurse licensing board in a party state for the attendance and testimony of witnesses, and/or the production of evidence from another party state, shall be enforced in the latter state by any court of competent jurisdiction, according to the practice and procedure of that court applicable to subpoenas issued in proceedings pending before it. The issuing authority shall pay any witness fees, travel expenses, mileage and other fees required by the service statutes of the state where the witnesses and/or evidence are located.
  3. Issue cease and desist orders to limit or revoke a nurse’s authority to practice in their state;
  4. Promulgate uniform rules and regulations as provided for in § 5-34.3-10(c) .

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

5-34.3-9. Coordinated licensure information system.

  1. All party states shall participate in a cooperative effort to create a coordinated database of all licensed registered nurses and licensed practical/vocational nurses. This system will include information on the licensure and disciplinary history of each nurse, as contributed by party states, to assist in the coordination of nurse licensure and enforcement efforts.
  2. Notwithstanding any other provision of law, all party states’ licensing boards shall promptly report adverse actions, actions against multistate licensure privileges, any current significant investigative information yet to result in adverse action, denials of applications, and the reasons for such denials, to the coordinated licensure information system.
  3. Current significant investigative information shall be transmitted through the coordinated licensure information system only to party state licensing boards.
  4. Notwithstanding any other provision of law, all party states’ licensing boards contributing information to the coordinated licensure information system may designate information that may not be shared with non-party states or disclosed to other entities or individuals without the express permission of the contributing state.
  5. Any personally identifiable information obtained by a party state’s licensing board from the coordinated licensure information system may not be shared with non-party states or disclosed to other entities or individuals except to the extent permitted by the laws of the party state contributing the information.
  6. Any information contributed to the coordinated licensure information system that is subsequently required to be expunged by the laws of the party state contributing that information, shall also be expunged from the coordinated licensure information system.
  7. The compact administrators, acting jointly with each other and in consultation with the administrator of the coordinated licensure information system, shall formulate necessary and proper procedures for the identification, collection and exchange of information under this compact.

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

5-34.3-10. Compact administration and interchange of information.

  1. The head of the nurse licensing board, or his/her designee, of each party state shall be the administrator of this compact for his/her state.
  2. The compact administrator of each party shall furnish to the compact administrator of each other party state any information and documents including, but not limited to, a uniform data set of investigations, identifying information, licensure data, and disclosable alternative program participation information to facilitate the administration of this compact.
  3. Compact administrators shall have the authority to develop uniform rules to facilitate and coordinate implementation of this compact. These uniform rules shall be adopted by party states, under the authority invested under § 5-34.3-8(4) .

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

5-34.3-11. Immunity.

No party state or the officers or employees or agents of a party state’s nurse licensing board who act in accordance with the provisions of this compact shall be liable on account of any act or omission in good faith while engaged in the performance of their duties under this compact. Good faith in this article shall not include willful misconduct, gross negligence, or recklessness.

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

5-34.3-12. Entry into force, withdrawal and amendment.

  1. This compact shall enter into force and become effective as to any state when it has been enacted into the laws of that state. Any party state may withdraw from this compact by enacting a statute repealing the same, but no such withdrawal shall take effect until six (6) months after the withdrawing state has given notice of the withdrawal to the executive heads of all other party states.
  2. No withdrawal shall affect the validity or applicability by the licensing boards of states remaining party to the compact of any report of adverse action occurring prior to the withdrawal.
  3. Nothing contained in this compact shall be construed to invalidate or prevent any nurse licensure agreement or other cooperative arrangement between a party state and a non-party state that is made in accordance with the other provisions of this compact.
  4. This compact may be amended by the party states. No amendment to this compact shall become effective and binding upon the party states unless and until it is enacted into the laws of all party states.

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

5-34.3-13. Employers.

This compact is designed to facilitate the regulation of nurses, and does not relieve employers from complying with statutorily imposed obligations. This compact does not supersede existing state labor laws.

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

5-34.3-14. Construction and severability.

  1. This compact shall be liberally construed so as to effectuate the purposes thereof. The provisions of this compact shall be severable and if any phrase, clause, sentence or provision of this compact is declared to be contrary to the constitution of any party state or of the United States or the applicability thereof to any government, agency, person or circumstance is held invalid, the validity of the remainder of this compact and the applicability thereof to any government, agency, person or circumstance shall not be affected thereby. If this compact shall be held contrary to the constitution of any state party thereto, the compact shall remain in full force and effect as to the remaining party states and in full force and effect as to the party state affected as to all severable matters.
  2. In the event party states find a need for settling disputes arising under this compact:
    1. The party states may submit the issues in dispute to an arbitration panel which will be comprised of an individual appointed by the compact administrator in the home state; an individual appointed by the compact administrator in the remote state(s) involved; and an individual mutually agreed upon by the compact administrators of all the party states involved in the dispute.
    2. The decision of a majority of the arbitrators shall be final and binding.

History of Section. P.L. 2007, ch. 50, § 2; P.L. 2007, ch. 62, § 2.

Chapter 35 Optometrists [Repealed.]

5-35-1 — 5-35-32. [Repealed.]

Repealed Sections.

This chapter (P.L. 1928, ch. 1235, §§ 1-15; P.L. 1929, ch. 1399, §§ 1, 2; P.L. 1935, ch. 2250, § 118; P.L. 1936, ch. 2362, § 1; P.L. 1936, ch. 2363, §§ 2-6; G.L. 1938, ch. 277, §§ 1-15; impl. am. P.L. 1939, ch. 660, §§ 65, 180; impl. am. P.L. 1940, ch. 889, § 1; impl. am. P.L. 1949, ch. 2228, § 1; P.L. 1959, ch. 70, § 1; P.L. 1960, ch. 76, § 17; P.L. 1962, ch. 248, §§ 1-3; P.L. 1969, ch. 168, § 1; P.L. 1971, ch. 225, § 1; P.L. 1971, ch. 229, § 1; P.L. 1974, ch. 227, § 1; P.L. 1976, ch. 161, § 1; P.L. 1976, ch. 234, § 1; P.L. 1981, ch. 275, § 8; P.L. 1983, ch. 272, § 1; P.L. 1985, ch. 72, § 1; P.L. 1985, ch. 265, § 1; P.L. 1988, ch. 245, §§ 1, 2; P.L. 1989, ch. 126, art. 26, § 3; P.L. 1992, ch. 214, § 1; P.L. 1992, ch. 450, § 1; P.L. 1993, ch. 29, §§ 1, 2; P.L. 1993, ch. 138, art. 71, § 1; P.L. 1994, ch. 105, § 1; P.L. 1994, ch. 345, § 1; P.L. 1995, ch. 253, § 1; P.L. 1995, ch. 340, § 1; P.L. 1995, ch. 370, art. 40, § 18; P.L. 1996, ch. 164, § 5; P.L. 1996, ch. 351, § 1; P.L. 1997, ch. 215, § 1; P.L. 1997, ch. 216, § 1; P.L. 1999, ch. 168, § 1; P.L. 1999, ch. 465, § 3; P.L. 2000, ch. 152, § 1; P.L. 2001, ch. 77, art. 14, § 11; P.L. 2001, ch. 167, § 1; P.L. 2004, ch. 467, § 2; P.L. 2005, ch. 303, § 1; P.L. 2007, ch. 73, art. 39, § 9; P.L. 2007, ch. 101, § 1; P.L. 2007, ch. 113, § 1), relating to optometrists, was repealed by P.L. 2008, ch. 305, § 1, effective July 5, 2008, and by P.L. 2008, ch. 433, § 1, effective July 8, 2008. For comparable provisions, see chapter 35.1 of this title.

Former § 5-35-6 (P.L. 1928, ch. 1235, § 2; P.L. 1929, ch. 1399, § 1; P.L. 1936, ch. 2363, § 2; G.L. 1938, ch. 277, § 2; G.L. 1956, § 5-35-6), concerning license required for practice of optometry, was repealed by P.L. 2007, ch. 101, § 2, and P.L. 2007, ch. 113, § 2, both effective June 27, 2007.

Former §§ 5-35-10 to 5-35-12 (P.L. 1928, ch. 1235, § 2-4; P.L. 1929, ch. 1399, § 1; P.L. 1936, ch. 2363, § 2, 3; G.L. 1938, ch. 277, §§ 2-4; impl. am. P.L. 1949, ch. 2228, § 1; P.L. 1971, ch. 229, § 1; P.L. 2001, ch. 77, art. 14, § 11), concerning scope and conduct of examination, and internships, were repealed by P.L. 2007, ch. 101, § 2, and by P.L. 2007, ch. 113, § 2, both effective June 27, 2007.

Former § 5-35-16 (P.L. 1928, ch. 1235, § 3; P.L. 1936, ch. 2363, § 3; G.L. 1938, ch. 277, § 3; G.L. 1956, § 5-35-16), concerning the disposition of receipts, was repealed by P.L. 1989, ch. 126, art. 26, § 4, effective June 30, 1989.

Former § 5-35-22 (P.L. 1928, ch. 1235, § 11; P.L. 1936, ch. 2363, § 4; G.L. 1938, ch. 277, § 11), prohibiting the advertisement of prices, was repealed by P.L. 1981, ch. 275, § 9.

Chapter 35.1 Optometrists

5-35.1-1. Definitions.

As used in this chapter, the following terms are construed as follows:

  1. “Amplified optometrist” means an optometrist licensed in this state to practice optometry and authorized by the board to administer and prescribe pharmaceutical agents in the treatment of conditions of the human eye and its appendages, including anterior uveitis and glaucoma, without surgery or other invasive techniques, and in accordance with § 5-35.1-12 and all the requirements of this chapter.
  2. “Board” means the board of optometry established under the provisions of § 5-35.1-13 .
  3. “Certified optometrist” means an optometrist licensed in this state to practice optometry and authorized by the board to administer and prescribe topical ocular pharmaceutical agents in the treatment of ocular conditions of the anterior segment of the human eye and its appendages (with the exception of uveitis and glaucoma) without surgery or other invasive techniques and in accordance with § 5-35.1-12 and all the requirements of this chapter.
  4. “Department” means the department of health.
  5. “Director” means the director of the department of health.
  6. “Optometrist” means a person licensed in this state to practice optometry pursuant to the provisions of this chapter.
  7. “Optometry” means the profession whose practitioners are engaged in the art and science of the evaluation of vision and the examination of vision and the examination and refraction of the human eye that includes: the employment of any objective or subjective means for the examination of the human eye or its appendages; the measurement of the powers or range of human vision or the determination of the accommodative and refractive powers of the human eye or the scope of its functions in general and the adaptation of lenses, prisms, and/or frames for the aid of these; the prescribing, directing the use of, or administering ocular exercises, visual training, vision training, or orthoptics, and the use of any optical device in connection with these; the prescribing of contact lenses for, or the fitting or adaptation of contact lenses to, the human eye; the examination or diagnosis of the human eye to ascertain the presence of abnormal conditions or functions; and the application of pharmaceutical agents to the eye, provided, that no optometrist licensed in this state shall perform any surgery for the purpose of detecting any diseased or pathological condition of the eye. With respect to presently licensed optometrists, only presently licensed optometrists who:

    (1) Have satisfactorily completed a course in pharmacology, as it applies to optometry, at an institution accredited by a regional, professional, or academic accreditation organization recognized by the National Commission on Accreditation, with particular emphasis on the application of drugs to the eye for the purposes of detecting any diseased or pathological condition of the eye; or the effects of any disease or pathological condition of the eye, approved by the board of examiners in optometry and the department; or

    (2) (i) Have successfully passed all sections of the National Board of Examiners in Optometry (NBEO) examination; and

    (ii) The treatment and management of ocular disease (TMOD) examination shall be permitted to apply pharmaceutical agents to the eye for the purpose of detecting any diseased or pathological condition of the eye, or the effects of any disease or pathological condition of the eye.

  8. “Pharmaceutical agents” means any medications as determined by the department, except those specified in schedules I and II as provided in chapter 28 of title 21. Notwithstanding the foregoing, hydrocodone-containing medications shall be included as a pharmaceutical agent for the purposes of this chapter.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2; P.L. 2014, ch. 422, § 1; P.L. 2014, ch. 457, § 1.

Cross References.

Corporations for practice, § 7-5.1-1 et seq.

Comparative Legislation.

Optometrists:

Conn. Gen. Stat. § 20-127 et seq.

Mass. Ann. Laws ch. 13, § 16 et seq.; ch. 112, § 66 et seq.

NOTES TO DECISIONS

Purpose.

The primary purpose of this chapter is to protect the public, in a matter closely related to their health and general welfare, from the harmful consequences of the practice of optometry by unfit and unauthorized persons. Macbeth v. Gerber's, Inc., 72 R.I. 102 , 48 A.2d 366, 1946 R.I. LEXIS 53 (1946); Berger v. Board of Examiners in Optometry, 74 R.I. 165 , 59 A.2d 717, 1948 R.I. LEXIS 59 (1948).

This chapter was not intended to secure registered optometrists against pecuniary loss as the result of lawful competition. Macbeth v. Gerber's, Inc., 72 R.I. 102 , 48 A.2d 366, 1946 R.I. LEXIS 53 (1946); Berger v. Board of Examiners in Optometry, 74 R.I. 165 , 59 A.2d 717, 1948 R.I. LEXIS 59 (1948).

When a health maintenance organization (HMO) reimbursed optometrists at a lesser rate than ophthalmologists for the same or substantially similar services, the HMO did not violate former R.I. Gen. Laws § 5-35-21.1(b) because the funds used to reimburse the optometrists were not “public funds,” as, once a state agency paid the HMO, that money ceased to be public, as the state ceased to control the money, and the HMO freely spent the money without consulting the state. Drs. Pass & Bertherman, Inc. v. Neighborhood Health Plan, 31 A.3d 1263, 2011 R.I. LEXIS 139 (R.I. 2011) (decided under prior law).

When a health maintenance organization (HMO) reimbursed optometrists at a lesser rate than ophthalmologists for the same or substantially similar services, the HMO did not violate former R.I. Gen. Laws § 5-35-21.1(b) because the funds used to reimburse the optometrists were not “public funds,” as the HMO was not a state actor, since there was not a “sufficiently close nexus” between the HMO and the state, nor was the state’s influence over the HMO sufficiently coercive. Drs. Pass & Bertherman, Inc. v. Neighborhood Health Plan, 31 A.3d 1263, 2011 R.I. LEXIS 139 (R.I. 2011) (decided under prior law).

Statute Not Violated.

When a health maintenance organization (HMO) reimbursed optometrists at a lesser rate than ophthalmologists for the same or substantially similar services, the HMO did not violate former R.I. Gen. Laws § 5-35-21.1(b) because the funds used to reimburse the optometrists were not “public funds,” as the statutory phrase “public funds” was tied to payments by the state or the state’s agents, as this was consistent with the common sense, dictionary definition of “public” and maintained the statute’s internal consistency. Drs. Pass & Bertherman, Inc. v. Neighborhood Health Plan, 31 A.3d 1263, 2011 R.I. LEXIS 139 (R.I. 2011) (decided under prior law).

Collateral References.

Competency of physician not specialist to testify as to eye. 54 A.L.R. 861.

Constitutionality of statutes and validity of regulations relating to optometry. 98 A.L.R. 905; 22 A.L.R.2d 939.

Discrimination for or against optometrists in statutes as to practice of medicine. 37 A.L.R. 682; 42 A.L.R. 1342; 54 A.L.R. 600.

Fair Labor Standards Act, optometrists as “service establishment” within. 150 A.L.R. 710.

Furnishing glasses or optical accessories as sale within sales tax law. 159 A.L.R. 578.

“Grandfather clause” in statutes regulating optometrists. 4 A.L.R.2d 689.

Optometry as within statute relating to practice of medicine. 22 A.L.R. 1173.

Standard of skill and care required. 18 A.L.R.4th 603.

What constitutes practice of “optometry.” 82 A.L.R.4th 816.

5-35.1-2. Qualifications to practice optometry.

Every applicant for licensure shall present satisfactory evidence in the form of affidavits properly sworn to that he or she:

  1. Is of good moral character; and
  2. Has graduated from a school or college of optometry that maintains a course in optometry of not less than four (4) years and is approved by the Accreditation Council on Optometric Education (ACOE) or other accrediting body as approved by the board; and
  3. Has successfully passed a national examination or other examinations approved by the department and the board; and
  4. Any other qualifications as may be established in rules and regulations promulgated by the department.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

5-35.1-3. Application for examination and license.

Every person desiring to be licensed to practice optometry as provided in this chapter shall file with the department, in the form prescribed by the department, an application presenting the facts that entitle the applicant to a license to practice optometry under this chapter. No one shall be permitted to practice optometry in this state without a valid license.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2; P.L. 2018, ch. 176, § 9; P.L. 2018, ch. 289, § 9.

5-35.1-4. Fee for license.

Every applicant shall pay to the department a fee as set forth in § 23-1-54 which shall accompany his or her application for a license.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2; P.L. 2012, ch. 241, art. 9, § 10.

5-35.1-5. Registration of optometrists from other states.

Any person who presents evidence to the department that he or she is entitled to practice optometry in another state where requirements for registration are, in the opinion of the department, equivalent to those of this state, may be licensed in this state upon payment to the department of a fee.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

5-35.1-6. Issuance, registration, and display of certificate of license to practice optometry.

Every applicant who complies with the provisions of this chapter shall receive from the director under his or her seal a certificate of license entitling him or her to practice optometry in this state. Every person to whom a certificate of license is issued by the department shall keep that certificate displayed in a conspicuous place in the office or place of business where that person practices optometry and, whenever required, shall exhibit the certificate to any authorized representative of the department.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

5-35.1-7. Renewal of license to practice optometry.

Every licensed optometrist who desires to continue the practice of optometry shall attest to the completion of a prescribed course of continuing optometric education. He or she shall annually pay to the department a renewal fee. An additional fee shall be charged to the licensee who fails to renew by the license expiration date. Retirement from practice in this state for a period not exceeding five (5) years shall not deprive the holder of a certificate of license of the right to renew a certificate upon the payment of all annual renewal fees remaining unpaid, and together with an added fee. All fees required by this section shall be as set forth in § 23-1-54 .

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2; P.L. 2012, ch. 241, art. 9, § 10.

Cross References.

Veteran’s certificate, renewal on discharge, § 30-20-1 .

5-35.1-8. Use of title of doctor.

Any person licensed to practice optometry under this chapter may prefix or append to his or her name the title of doctor or any abbreviation of the word doctor, provided that person holds a degree granted by a school or college of optometry authorized to grant this degree.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

Cross References.

Discrimination against osteopaths and optometrists by state departments prohibited, § 40.1-3-15 .

5-35.1-9. Acts constituting unlawful practice of optometry.

No optometrist licensed by and practicing in this state may:

  1. Use or occupy space for that practice under any oral or written lease, contract, arrangement, or understanding with anyone (other than with another optometrist licensed by, and practicing in this state) by which the rent paid by that licensed optometrist for that use or occupancy or any element of the expense of practicing his or her profession varies according to his or her gross receipts, net profit, taxable income, numeral volume of the patients examined by that licensed optometrist, or any combination;
  2. Use or occupy space for that practice in any building where more than fifty percent (50%) of the remaining space is used or occupied by tenants or a tenant of that building or the owner of that building and those tenants, tenant, or owner is engaged in the business of selling merchandise to the general public, if those tenants, tenant, or owner:
    1. Uses, or occupies that space under any oral or written lease, contract, arrangement, or understanding with anyone by which the rent paid by those tenants or tenant for that use or occupancy or any element in the cost of doing business varies according to the gross receipts, net profit, taxable income, numerical volume of sales or customers of those tenants or tenant or any combination;
  3. Advertise by written or spoken words of a character tending to deceive or mislead the public; or
  4. Practice his or her profession under any oral or written contract, arrangement, or understanding where anyone, not licensed to practice optometry practicing in this state shares, directly or indirectly, in any fees received by that licensed optometrist.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

Collateral References.

Practicing medicine, surgery, dentistry, optometry, podiatry, or other healing arts without a license as a separate or continuing offense. 99 A.L.R.2d 654.

5-35.1-10. Unlawful sale of spectacles.

It is unlawful for any person, firm, or corporation to sell, as merchandise, in any store or established place of business in the state, any eyeglasses, spectacles, or lenses for the correction of vision, unless a licensed optometrist, physician, or optician under the laws of this state is in charge and in personal attendance at the booth, counter, or place where those articles are sold in a store or established place of business. The provisions of this section shall not be construed to apply to the sale of simple reading magnifying glasses, toy glasses, goggles consisting of plano white or plano colored lenses or ordinary colored glasses, or to optometrists, physicians, or opticians who sell spectacles, eyeglasses, or lenses by prescription. A seller of simple reading magnifying glasses shall have the following notice permanently affixed in plain view to the top of any point of sale display: “These magnifiers are not intended to be a substitute for corrective lenses; only a professional eye examination can determine your eye health status and vision needs.” This notice shall also be prominently displayed in all newspaper, magazine, and other advertisements for simple reading magnifying glasses. As used in this section, “simple reading magnifying glasses” do not include lenses of bifocal design or single-vision lenses of over plus 3.25 diopters or equivalent magnification.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2; P.L. 2014, ch. 197, § 1; P.L. 2014, ch. 219, § 1.

5-35.1-11. Freedom of choice for eye care.

  1. Any contract providing for healthcare benefits that calls for the expenditure of private or public funds, for any purpose involving eye care that is within the scope of the practice of optometry, shall provide the recipients and/or beneficiaries the freedom to choose within the participating provider panel either an optometrist or physician to provide the eye care. This provision shall be applicable whether or not the contract is executed and/or delivered in or outside of the state, or for use within or outside of the state by or for any individuals who reside or are employed in the state.
  2. Where the contracts call for the expenditure of public or private funds, for any purpose involving expenditure of public or private funds, for any purpose involving eye care, there shall be no discrimination as to the rate of reimbursement for the health care, whether provided by a doctor of optometry or physician providing similar services.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

5-35.1-11.1. Subcontracted optometry network.

An insurer, including a company offering accident and sickness insurance as defined in chapter 18 of title 27, a nonprofit hospital-service corporation as defined in chapter 19 of title 27, a nonprofit medical-service corporation as defined in chapter 20 of title 27, or a health-maintenance organization as defined in chapter 41 of title 27, shall not require that an optometrist participate in a subsidiary’s or a third-party’s vision-care plan as a condition for participation in the insurer’s participating-provider panel.

History of Section. P.L. 2011, ch. 181, § 1; P.L. 2011, ch. 204, § 1.

5-35.1-12. Use and prescription of pharmaceutical agents for ocular conditions — Optometrists training and certification.

  1. Notwithstanding the provisions of this chapter, amplified optometrists of this state may use and prescribe pharmaceutical agents in the treatment of conditions of the human eye and its appendages, without the use of surgery or other invasive techniques; provided, that all qualified optometrists shall be permitted to become amplified optometrists in accordance with the requirements of subsection (c) of this section and all other requirements of this chapter; and provided, further, that drugs contained in Schedule III of chapter 28 of title 21 and hydrocodone-containing medications shall be prescribed for no more than seventy-two (72) hours; and that no optometrist shall deliver any medication by injection.
  2. The director shall issue regulations governing the prescribing of oral pharmaceutical agents, including oral steroids and Schedule III narcotic and non-narcotic analgesics, within the scope of the optometrist’s practice.
  3. To be newly licensed as an amplified optometrist, a qualified optometrist must meet the qualifications of § 5-35.1-2 and must provide evidence to the department that he or she has satisfactorily:
    1. Completed at least thirty (30) hours of clinical experience in the treatment of ocular disease with pharmaceutical agents, consistent with current graduate degree requirements for optometric education either within a four-year (4) period immediately prior to the date of application or as otherwise determined by the board; and
    2. Completed a course in pharmacology, as it applies to optometry, at an approved institution accredited by a regional, professional, or academic accreditation organization. Further, to maintain amplified-optometrist-licensure status, all amplified optometrists must submit, upon request, evidence of an average of at least five (5) hours of continuing education in pharmacology per year.
  4. The director, before issuing the regulations, shall request and consider recommendations that may be submitted by the board of optometry.
  5. The board shall require optometrists to adhere to electronic prescribing standards within thirty (30) months of receiving prescriptive authority as defined in subsection (a) of this section.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2; P.L. 2009, ch. 310, § 31; P.L. 2014, ch. 422, § 1; P.L. 2014, ch. 457, § 1.

5-35.1-13. Board of optometry — Appointment of members.

The director shall appoint a board of optometry. The board shall consist of five (5) members, all of whom shall be residents of the state, four (4) of whom shall be licensed optometrists engaged in the practice of optometry for at least five (5) years prior to their appointment, and there shall be one public member. The members shall be appointed for terms of three (3) years; each member may serve a maximum of two (2) consecutive full terms.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

Cross References.

Board of examiners, § 5-26-2 et seq.

Functions of department of health, § 42-18-1 .

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

5-35.1-14. Board — Compensation of members.

No member of the board of optometry shall receive compensation for his or her attendance at meetings of the board.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

5-35.1-15. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

5-35.1-16. Minimum examination of patient.

Every person practicing optometry in accordance with the laws of this state shall, prior to prescribing eyeglasses, lenses, or spectacles make a minimum examination of the patient to determine existent visual defects and procedures for their correction. The degree of that minimum examination shall be defined in the rules and regulations of the department.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

5-35.1-17. Persons exempt from requirements.

Nothing in this chapter shall be construed to apply to physicians licensed to practice medicine under the laws of this state, or to persons engaged in optical work who do not conduct a retail or wholesale optical business.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

Cross References.

Physicians, § 5-37-1 et seq.

5-35.1-18. Refusal, suspension, or revocation of license for unprofessional conduct.

In addition to any and all other remedies provided in this chapter, the director may, after notice and hearing in the director’s discretion, refuse to grant, refuse to renew, suspend, or revoke any license provided for in this chapter to any person who is guilty of unprofessional conduct or conduct of a character likely to deceive or defraud the public, or for any fraud or deception committed in obtaining a license. “Unprofessional conduct” is defined as including, but is not limited to:

  1. Conviction of one or more of the offenses set forth in § 23-17-37 ;
  2. Knowingly placing the health of a patient at serious risk without maintaining proper precautions;
  3. Advertising by means of false or deceptive statements;
  4. The use of drugs or alcohol to an extent that impairs the person’s ability to properly engage in the profession;
  5. Use of any false or fraudulent statement in any document connected with his or her practice;
  6. Obtaining of any fee by fraud or willful misrepresentation of any kind whether from a patient or insurance plan;
  7. Knowingly performing any act that in any way aids or assists an unlicensed person to practice in violation of this chapter;
  8. Violating or attempting to violate, directly or indirectly, or assisting in, or abetting, the violation of, or conspiring to violate, any of the provisions of this chapter or regulations previously or hereafter issued pursuant to this chapter;
  9. Incompetence;
  10. Repeated acts of gross misconduct;
  11. An optometrist providing services to a person who is making a claim as a result of a personal injury, who charges or collects from the person any amount in excess of the reimbursement to the optometrist by the insurer as a condition of providing or continuing to provide services or treatment;
  12. Failure to conform to acceptable and prevailing community standard of optometric practice;
  13. Advertising by written or spoken words of a character tending to deceive or mislead the public;
  14. Practicing his or her profession under any oral or written contract, arrangement, or understanding where anyone not licensed to practice optometry in this state shares, directly or indirectly, in any fees received by that licensed optometrist;
  15. Grave and repeated misuse of any ocular pharmaceutical agent; or
  16. The use of any agent or procedure in the course of optometric practice by an optometrist not properly authorized under this chapter.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

NOTES TO DECISIONS

Advertising.

A licensed optometrist is not prohibited from having an office in a place where optical goods are sold at retail as merchandise, or from practicing optometry and also working for another person in the latter’s place of business, or from indirectly aiding another person in advertising that optical goods and the services of a licensed optometrist are available at such place of business. Berger v. Board of Examiners in Optometry, 74 R.I. 165 , 59 A.2d 717, 1948 R.I. LEXIS 59 (1948).

Where the phrase “advertising, practicing or attempting to practice under a name other than his own” was not otherwise defined or described in the statute and no rule or regulation had been adopted on the subject, such phrase was required to be construed in its ordinary and natural sense, having regard for the context and general purpose of the statute. Berger v. Board of Examiners in Optometry, 74 R.I. 165 , 59 A.2d 717, 1948 R.I. LEXIS 59 (1948).

Collateral References.

Bias of members of license revocation board. 97 A.L.R.2d 1210.

Prohibition to control grant or revocation of license. 159 A.L.R. 632.

5-35.1-19. Construction of glass lenses — Violations — Penalty.

  1. No person shall distribute, sell, or deliver any eyeglasses or sunglasses unless those eyeglasses or sunglasses are fitted with heat-treated glass lenses, plastic lenses, lamination lenses, or lenses made impact-resistant by other methods. The provisions of this subsection do not apply if a physician or optometrist, having found that those lenses will not fulfill the visual requirements of a particular patient, directs, in writing, the use of other lenses and gives written notification to the patient. Before they are mounted in frames, all impact-resistant eyeglasses and sunglass lenses, except plastic lenses, laminated lenses, and raised-ledge multifocal lenses must withstand an impact test of a steel ball five-eighths (5/8) of an inch in diameter weighing approximately fifty-six hundredths of an ounce (0.56 oz.) dropped from a height of fifty inches (50"). Raised-ledge multifocal lenses are capable of withstanding the impact test but do not need to be tested beyond initial design testing. To demonstrate that all plastic lenses and laminated lenses are capable of withstanding the impact test, the manufacturer of the lenses shall subject to the impact test a statistically significant sampling of lenses from each production batch, and the tested lenses are representative of the finished forms as worn by the wearer. Plastic prescription and plastic nonprescription lenses, tested on the basis of statistical significance, may be tested in uncut finished or semi-finished form at the point of original manufacture.
  2. Any person convicted of violating the provisions of this section shall be punished by a fine of not less than five hundred dollars ($500) for each violation.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

5-35.1-20. Penalty for violations.

Any person who violates the provisions of this chapter shall be punished by a fine of not more than that set forth in § 23-1-54 , or shall be imprisoned for not more than three (3) months for each offense.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2; P.L. 2012, ch. 241, art. 9, § 10; P.L. 2019, ch. 308, art. 1, § 15.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-35.1-21. Prosecution of violations.

It shall be the duty of the director to enforce the provisions of this chapter and to prosecute every person who violates those provisions. Whenever a complaint is made by the department, or by any of its authorized agents of any violation of the provisions of this chapter, they shall not be required to furnish surety for costs, nor are they liable for costs on that complaint.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

NOTES TO DECISIONS

Restraining Order.

Individuals or officers of the society of registered optometrists could not maintain a bill in equity to restrain the defendant from illegally practicing optometry on allegations that complainants were competitors of defendant and that their volume of business was influenced by defendant’s conduct and that they were threatened with irreparable loss. Macbeth v. Gerber's, Inc., 72 R.I. 102 , 48 A.2d 366, 1946 R.I. LEXIS 53 (1946).

5-35.1-22. Rules and regulations.

The department, in addition to approving the examinations and licensing of optometrists, shall make rules and regulations governing the practice of optometry. The department shall have the power to revoke the license of any optometrist violating those rules and regulations.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

Collateral References.

Regulation of optometrists, validity. 22 A.L.R.2d 939.

5-35.1-23. Severability.

  1. If any provision of this chapter or of any rule or regulation made under this chapter, or the application of this chapter to any person or circumstances, is held invalid by a court of competent jurisdiction, the remainder of the chapter, rule, or regulation, and the application of that provision to other persons or circumstances shall not be affected.
  2. The invalidity of any section or sections or parts of any section or sections of this chapter does not affect the validity of the remainder of the chapter.

History of Section. P.L. 2008, ch. 305, § 2; P.L. 2008, ch. 433, § 2.

Chapter 35.2 Opticians

5-35.2-1. Definitions.

As used in this chapter:

  1. “Advisory committee” means the advisory committee of opticianry as established herein.
  2. “Department” means the department of health.
  3. “Director” means the director of the department of health.
  4. “Optician” means a person licensed in this state to practice opticianry pursuant to the provisions of this chapter.
  5. “The practice of opticianry” means the preparation or dispensing of eyeglasses, spectacles, lenses, or related appurtenances, for the intended wearers, or users, on prescription from licensed physicians or optometrists, or duplications or reproductions of previously prepared eyeglasses, spectacles, lenses, or related appurtenances; or the person who, in accordance with such prescriptions, duplications, or reproductions, measures, adapts, fits, and adjusts eyeglasses, spectacles, lenses, including spectacles add powers for task specific use or occupational applications, or appurtenances, to the human face. Provided, however, a person licensed under the provisions of this chapter shall be specifically prohibited from engaging in the practice of ocular refraction, orthoptics, visual training, the prescribing of subnormal vision aids, telescopic spectacles, fitting, selling, replacing, or dispensing contact lenses.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3.

5-35.2-2. Qualification of optician applicants.

  1. Every applicant for licensure shall present satisfactory evidence, in the form of affidavits properly sworn to, that he or she:
    1. Is of good moral character; and
    2. Has graduated from a two-year (2) school of opticianry approved by the New England Association of Schools and Colleges or an equivalent regional accrediting authority or other accrediting authority as may be approved by the department with consultation from the advisory committee; and
    3. Has successfully passed the national opticianry competency examination or any other written examination approved by the department with consultation from the advisory committee; and
    4. Has successfully passed a practical examination approved by the department with consultation from the advisory committee.
  2. Every applicant for licensure who is or has been licensed in an alternate jurisdiction shall present satisfactory evidence in the form of affidavits properly sworn to that he or she:
    1. Is of good moral character; and
    2. Has graduated from high school; and
    3. Has graduated from a two-year (2) school of opticianry approved by the New England Association of Schools and Colleges or an equivalent regional accrediting authority or other accrediting authority as may be approved by the department with consultation from the advisory committee; or has successfully completed a two-year (2) opticianry apprenticeship program; and
    4. Has held a valid license to practice opticianry in another state for at least one year and was in good standing during that time; and
    5. Has practiced opticianry in this or any other state for a period of not less than one year; and
    6. Has successfully passed the national opticianry competency examination or any other written examination approved by the department with consultation from the advisory committee; and
    7. Has successfully passed a practical exam approved by the department with consultation from the advisory committee.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3; P.L. 2011, ch. 40, § 1; P.L. 2011, ch. 48, § 1.

5-35.2-3. Optician’s biennial license fee.

Every applicant shall pay to the department a fee as set forth in § 23-1-54 which shall accompany his or her application for a license. No one shall be permitted to practice opticianry without a valid license.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3; P.L. 2012, ch. 241, art. 9, § 11.

Cross References.

Veteran’s certificate, renewal on discharge, § 30-20-1 .

5-35.2-4. Advertising by opticians.

The division of professional regulation, in addition to conducting the examinations, licensing, and registering of opticians, shall make rules and regulations governing advertising by opticians. The division shall have the power to revoke the license of any optician violating those rules and regulations.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3.

5-35.2-5. Unlawful sale of spectacles.

It is unlawful for any person, firm, or corporation to sell, as merchandise, in any store or established place of business in the state, any eyeglasses, spectacles, or lenses for uncorrected vision, unless a licensed optometrist, physician, or optician under the laws of this state is in charge and in personal attendance at the booth, counter, or place where those articles are sold in that store or established place of business. The provisions of this section shall not be construed to apply to the sale of simple reading magnifying glasses, toy glasses, goggles consisting of plano white or plano colored lenses or ordinary colored glasses, or to optometrists, physicians, or opticians who sell spectacles, eyeglasses, or lenses in prescription. A seller of simple reading magnifying glasses shall have the following notice permanently affixed in plain view to the top of any point of sale display: “These magnifiers are not intended to be substitute for corrective lenses; only a professional eye examination can determine your eye health status and vision needs.” This notice shall also be prominently displayed in all newspaper, magazine, and other advertisements for simple reading magnifying glasses. As used in this section, “simple reading magnifying glasses” do not include lenses of bifocal design or single vision lenses of over plus 3.25 diopters or equivalent magnification.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3; P.L. 2014, ch. 197, § 2; P.L. 2014, ch. 219, § 2.

5-35.2-6. Freedom of choice for eye care.

Where the contracts call for the expenditure of public or private funds involving Medicaid and RIte Care, Medicare, or supplemental coverage for any purpose relating to eyewear, and as it pertains to opticianry, the distribution, dispensing, filling, duplication, and fabrication of eyeglasses or optical prosthesis by opticians as defined in § 5-35.2-1 , those health plans or contracts are required to notify by publication in a public newspaper published within and circulated and distributed throughout the state of Rhode Island, to all providers, including, but not limited to, opticians, within the health plan’s or contract’s geographic service area, of the opportunity to apply for credentials, and there is no discrimination as to the rate or reimbursement for health care provided by an optician for similar services as rendered by other professions pursuant to this section. Nothing contained in the chapter shall require health plans to contract with any particular class of providers.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3; P.L. 2019, ch. 308, art. 1, § 16.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-35.2-7. Continuing education of opticians.

Every person licensed to practice opticianry who makes an application for renewal shall, as condition to his or her relicensure, attest to the department of completion of continuing education in the preceding two (2) calendar years in accordance with the rules and regulations promulgated hereunder.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3.

5-35.2-8. Advisory committee for opticianry.

There is created an advisory committee for opticianry, appointed by the director, to consist of five (5) members, who shall be residents of the state, four (4) of whom shall be licensed as opticians under the provisions of this chapter, and shall have practiced as opticians for a period of at least five (5) years, and one layperson who shall be from the public. The members of the advisory committee shall be appointed for terms of three (3) years; each member may serve a maximum of two (2) full terms. The duties of the advisory committee for opticianry shall include but not be limited to advising the director on all matters pertaining to the licensure and regulation of opticianry in this state.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3.

5-35.2-9. Persons exempt from requirements.

Nothing in this chapter shall be construed to apply to physicians licensed to practice medicine under the laws of this state, optometrists, or persons engaged in optical work who do not conduct a retail or wholesale optical business.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3.

5-35.2-10. Refusal, suspension, or revocation of license for unprofessional conduct.

In addition to any and all other remedies provided in this chapter, the director may, after notice and hearing, in the director’s discretion, refuse to grant, refuse to renew, suspend, or revoke any license provided for in this chapter to any person who is guilty of unprofessional conduct or conduct of a character likely to deceive or defraud the public, or for any fraud or deception committed in obtaining a license. “Unprofessional conduct” is defined as including, but is not limited to:

  1. Conviction of one of the offenses set forth in § 23-17-37 ;
  2. Knowingly placing the health of a client at serious risk without maintaining proper precautions;
  3. Advertising by means of false or deceptive statements;
  4. The use of drugs or alcohol to an extent that impairs that person’s ability to properly engage in the profession;
  5. The use of any false or fraudulent statement in any document connected with his or her practice;
  6. The obtaining of any fee by fraud or willful misrepresentation of any kind either to a patient or insurance plan;
  7. Knowingly performing any act that in any way aids or assists an unlicensed person to practice in violation of this chapter;
  8. Violating or attempting to violate, directly or indirectly, or assisting in, or abetting, the violation of, or conspiring to violate, any of the provisions of this chapter or regulations previously or hereafter issued pursuant to this chapter;
  9. Incompetence;
  10. Repeated acts of gross misconduct;
  11. Failure to conform to acceptable and prevailing community standard of opticianry practice.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3.

5-35.2-11. Construction of glass lenses — Violations — Penalty.

  1. No person shall distribute, sell, or deliver any eyeglasses or sunglasses unless those eyeglasses or sunglasses are fitted with heat-treated glass lenses, plastic lenses, laminated lenses, or lenses made impact-resistant by other methods. The provisions of this subsection do not apply if a physician or optometrist, having found that those lenses will not fulfill the visual requirements of a particular patient, directs, in writing, the use of other lenses and gives written notification to the patient. Before they are mounted in frames, all impact-resistant eyeglasses and sunglass lenses, except plastic lenses, laminated lenses, and raised-ledge multifocal lenses must withstand an impact test of a steel ball five-eighths (5/8) of an inch in diameter weighing approximately fifty-six hundredths of an ounce (0.56 oz) dropped from a height of fifty inches (50"). Raised-ledge multifocal lenses are capable of withstanding the impact test but do not need to be tested beyond initial design testing. To demonstrate that all plastic lenses and laminated lenses are capable of withstanding the impact test, the manufacturer of the lenses shall subject to the impact test a statistically significant sampling of lenses from each production batch, and the tested lenses are representative of the finished forms as worn by the wearer. Plastic prescription and plastic nonprescription lenses, tested on the basis of statistical significance, may be tested in uncut finished or semi-finished form at the point of original manufacture.
  2. Any person convicted of violating the provisions of this section shall be punished by a fine of not less than five hundred dollars ($500) for each violation.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3.

5-35.2-12. Penalty for violations.

Any person who violates the provisions of this chapter shall be punished by a fine or not more than two hundred dollars ($200) or shall be imprisoned for not more than three (3) months for each offense.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3.

5-35.2-13. Prosecution of violations.

It shall be the duty of the director to enforce the provisions of this chapter and to prosecute every person who violates those provisions. Whenever a complaint is made by the department, or by any of its authorized agents, of any violation of the provisions of this chapter, they shall not be required to furnish surety for costs, nor are they liable for costs on that complaint.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3.

5-35.2-14. Rules and regulations.

The department, in addition to approving the examinations and licensing of opticians, shall make rules and regulations governing the practice of opticianry. The department shall have the power to revoke the license of any optician violating those rules and regulations.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3.

5-35.2-15. Severability.

  1. If any provision of this chapter or of any rule or regulation made under this chapter, or the application of this chapter to any person or circumstances, is held invalid by a court of competent jurisdiction, the remainder of the chapter, rule, or regulation, and the application of that provision to other persons or circumstances shall not be affected.
  2. The invalidity of any section or sections or parts of any section or sections of this chapter does not affect the validity of the remainder of this chapter.

History of Section. P.L. 2008, ch. 305, § 3; P.L. 2008, ch. 433, § 3.

Chapter 36 Osteopaths [Repealed.]

5-36-1 — 5-36-10. [Repealed.]

Repealed Sections.

This chapter (P.L. 1914, ch. 1058, §§ 2, 6; G.L. 1923, ch. 159, §§ 9-13; P.L. 1927, ch. 1068, § 1; P.L. 1928, ch. 1150, § 1; G.L. 1938, ch. 275, §§ 9-13, 30; P.L. 1939, ch. 659, § 2; P.L. 1939, ch. 660, §§ 65, 180; P.L. 1940, ch. 889, § 1; P.L. 1949, ch. 2228, § 1; P.L. 1954, ch. 3409, § 1; G.L. 1956, §§ 5-36-1 5-36-1 0; P.L. 1958, ch. 158, §§ 1, 2; P.L. 1960, ch. 76, § 18; P.L. 1975, ch. 114, § 2; P.L. 1976, ch. 244, § 3; P.L. 1977, ch. 138, § 2; P.L. 1978, ch. 363, § 1; P.L. 1981, ch. 131, § 1; P.L. 1982, ch. 83, § 1), concerning osteopaths, was repealed by P.L. 1986, ch. 301, § 1, effective January 1, 1987.

Chapter 36.1 License of Naturopathy Act of 2017

5-36.1-1. Short title.

This chapter shall be known and may be cited as “License of Naturopathy Act of 2017.”

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

Collateral References.

State Regulation of Naturopaths and Naturopathy. 41 A.L.R.7th Art. 10 (2019).

5-36.1-2. Definitions.

The following words and phrases as used in this chapter shall have the following meanings:

  1. “Approved naturopathic college” means a college that grants a degree of doctor of naturopathy and:
    1. Is accredited by the Council on Naturopathic Medical Education (CNME), its successor or other accrediting agency recognized by the United States Department of Education; or
    2. Is accredited by any other organization approved by the board of licensure of naturopathy.
  2. “Board” means the board of licensure of naturopathy.
  3. “CNME” or “Council” is the Council on Naturopathic Medical Education.
  4. “Department” means the Rhode Island department of health.
  5. “Director” means the director of the Rhode Island department of health.
  6. “Disciplinary action” means any action taken by an administrative law officer established against a licensee or applicant on a finding of unprofessional conduct by the licensee or applicant. “Disciplinary action” includes issuance of warnings and all sanctions including denial, suspension, revocation, limitation, or restriction of licenses and other similar limitations.
  7. “Doctor of naturopathy” means a person who practices naturopathic health care and is licensed pursuant to the provisions of this chapter.
  8. “Natural” means present in, produced by, or derived from nature.
  9. “Naturopathic health care” or “the practice of naturopathic health care” means a system of health care that utilizes education, natural substances, and natural therapies to support and stimulate a patient’s intrinsic self-healing processes and to prevent and treat human health conditions and injuries.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-3. Scope of practice.

  1. A license authorizes a licensee, consistent with naturopathic education and training and competence demonstrated by passing the doctor of naturopathy licensing examination, to:
    1. Order and perform physical and laboratory examinations for diagnostic purposes;
    2. Dispense or order natural substances of mineral, animal, or botanical origin, including food, extracts of food, nutraceuticals, vitamins, amino acids, minerals, enzymes, botanicals and their extracts, botanical substances, homeopathic substances, and all dietary supplements and nonprescription drugs as defined by the Federal Food, Drug, and Cosmetic Act, 21 U.S.C. § 301 et seq., that use various routes of administration, including oral, nasal, auricular, ocular, rectal, vaginal, and transdermal;
    3. Administer natural substances of mineral, animal, or botanical origin, including food, extracts of food, nutraceuticals, vitamins, amino acids, minerals, enzymes, botanicals and their extracts, botanical substances, homeopathic substances, and all dietary supplements and nonprescription drugs as defined by the Federal Food, Drug, and Cosmetic Act, 21 U.S.C. § 301 et seq., using transdermal routes of administration;
    4. Administer or perform hot or cold hydrotherapy, electromagnetic energy, and therapeutic exercise for the purpose of providing basic therapeutic care services, except that if a referral to another licensed provider is appropriate for ongoing rehabilitation or habilitation services, the doctor of naturopathy shall make the referral;
    5. Provide health education and health counseling; and
    6. Perform naturopathic musculoskeletal mobilization.
  2. If a doctor of naturopathy is engaged in the private practice of naturopathy in the state, the doctor of naturopathy shall display the license obtained pursuant to this section conspicuously in each office where the doctor of naturopathy is engaged in practice.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

Collateral References.

State Regulation of Naturopaths and Naturopathy. 41 A.L.R.7th Art. 10 (2019).

5-36.1-4. Penalty for misrepresentation.

No person who is not licensed as a doctor of naturopathy may use the title of “doctor of naturopathy” or hold themselves out as a doctor of naturopathy. Any person who violates the provisions of this section shall be punished by a fine of not less than two hundred dollars ($200) nor more than five hundred dollars ($500), nor more than one year imprisonment, or by both the fine and imprisonment.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-5. Prohibited acts.

A person licensed under this chapter shall not perform any of the following acts:

  1. Prescribe, dispense, or administer any legend medications or substances controlled pursuant to the federal Controlled Substances Act, 21 U.S.C. § 812, and chapter 28 of title 21;
  2. Use, for therapeutic purposes, any device regulated by the United States Food and Drug Administration (FDA) that has not been approved by the FDA;
  3. Perform surgical procedures;
  4. Practice, or claim to practice, as a medical doctor or physician, a doctor of osteopathic medicine, a primary-care doctor, a primary-care practitioner, a primary-care provider, a primary-care naturopath, a dentist, a podiatrist, an optometrist, a psychologist, an advanced practice registered nurse, a physician assistant, a chiropractor, a physical therapist, an acupuncturist, or any other healthcare professional unless licensed under this title;
  5. Use general regional or spinal anesthetics or procedural sedation;
  6. Administer ionizing radioactive substances for therapeutic or diagnostic purposes;
  7. Perform chiropractic adjustments or manipulations that include high-velocity thrusts at or beyond the end range of normal joint motion unless the licensee is also a licensed chiropractor;
  8. Perform acupuncture unless the licensee is also a licensed acupuncturist;
  9. Advise patients regarding prescription drugs beyond possible dietary supplement/herb — prescription drug interactions;
  10. Practice naturopathy in this state without a valid license issued in accordance with this chapter; or
  11. Use, in connection with the person’s name, any letters, words, or insignia indicating or implying that the person is a doctor of naturopathy unless the person is licensed in accordance with this chapter. A person licensed under this chapter may use the designation “DN” for doctor of naturopathy.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-6. Exemptions.

Nothing in this chapter shall be construed to prohibit any of the following:

  1. The practice of a profession by a person who is licensed, certified, or registered under other laws of this state and is performing services within the authorized scope of practice of that profession.
  2. The practice of naturopathy by a student enrolled in approved naturopathic training. The performance of services shall be pursuant to a course of instruction and under the supervision of an instructor, who shall be a doctor of naturopathy licensed in accordance with this chapter.
  3. The use or administration of over-the-counter medicines or other nonprescription agents.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-7. Reporting contagious and infectious diseases.

Doctors of naturopathy are subject to the provisions of the law relating to contagious and infectious diseases.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-8. Board of licensure — Creation.

Within the division of professional regulation established in the department of health pursuant to chapter 26 of this title there shall be created a board of licensure for doctor of naturopathy.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

Collateral References.

State Regulation of Naturopaths and Naturopathy. 41 A.L.R.7th Art. 10 (2019).

5-36.1-9. Board of licensure.

  1. The director of the department of health, with the approval of the governor, shall appoint a board consisting of five (5) persons, all residents of the state, to constitute a board of licensure for naturopathy with the duties, powers, and authority as stated in this chapter, and that board shall be composed of the following:
    1. Two (2) members who shall be licensed physicians under chapter 37 of this title who have been actively engaged in the practice of medicine;
    2. One member who is a representative of the general public not employed in any health-related field; and
    3. Two (2) members who shall be doctors of naturopathy meeting the qualifications for licensure under this chapter.
  2. Members shall be appointed for terms of three (3) years each with no member serving more than two (2) consecutive terms.
  3. In their initial appointment, the director shall designate the members of the board of licensure as follows: three (3) members to serve for terms of three (3) years; and two (2) members to serve for a term of two (2) years.
  4. The director of the department of health may remove any member of the board for cause.
  5. Vacancies shall be filled for the unexpired portion of any term in the same manner as the original appointment.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-10. Board of licensure — Powers and duties.

  1. The board shall administer and coordinate the provisions of this chapter; evaluate the qualifications of applicants; supervise any examination of applicants deemed necessary; recommend to the director the commencement of disciplinary hearings in accordance with chapter 35 of title 42 and the provisions of this chapter; and investigate persons engaging in practices that violate the provisions of this chapter. The board shall investigate all persons and agencies engaging in practices that violate the provisions in this chapter.
  2. The board shall conduct hearings of a nondisciplinary nature and shall keep the records and minutes that are necessary to an orderly dispatch of business.
  3. The board, with the approval of the director of the department of health, shall adopt rules and regulations necessary to carry into effect the provisions of this chapter and may amend or repeal them.
  4. Regular meetings of the board shall be held at any time and places that the board prescribes and special meetings shall be held upon the call of the chairperson; provided, that at least one regular meeting is held each year.
  5. The conferral or enumeration of specific powers in this chapter shall not be construed as a limitation of the general powers conferred by this section.
  6. The board shall recommend to the director for registration those persons meeting the criteria stated by this chapter.
  7. The board shall recommend to the director the revocation or suspension of the registration of any doctor of naturopathy who does not conform to the requirements of this chapter or regulations adopted under this chapter.
  8. The board shall approve programs for continuing naturopathic education.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-11. Board of licensure — Organization and meetings — Compensation of members.

The board shall elect its own chairperson annually and shall meet at the call of the administrator, the chairperson, or upon the request of two (2) or more members of the board. A quorum shall consist of at least three (3) members present, one of whom must be a doctor of naturopathy. The board shall approve programs for continuing naturopathic education. Board members shall serve without compensation.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-12. Qualifications for licensure.

To be eligible for licensure as a doctor of naturopathy, an applicant shall satisfy all the following:

  1. Have been granted a degree of doctor of naturopathy from an approved naturopathy college;
  2. Be physically and mentally fit to practice naturopathy with or without reasonable accommodation;
  3. Pass an examination approved by the board;
  4. Have in place a written collaboration and consultation agreement with a physician licensed under chapter 37 of this title. The collaboration and consultation agreement shall include the following:
    1. The name and license number of the physician with whom the applicant has a collaboration and consultation agreement;
    2. A statement that the applicant will refer patients to and consult with physicians and other licensed healthcare providers; and
    3. A statement that the applicant will require patients to sign a consent form that states that the applicant’s practice of naturopathy is limited to the scope of practice identified in § 5-36.1-3 .

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-13. Application for licensure.

A person shall apply for a license under this chapter by filing with the director an application provided by the director accompanied by the required fees and evidence of eligibility.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-14. Biennial license renewal — Continuing education.

  1. The license to practice naturopathy shall be renewed every two (2) years by filing a renewal application on a form provided by the director. The application shall be accompanied by the required fee and evidence of compliance with subsection (b).
  2. As a condition of renewal, a doctor of naturopathy shall complete a program of continuing education, approved by the director, during the preceding two (2) years. The director shall not require more than thirty (30) hours of continuing education biennially.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-15. Unprofessional conduct.

The following conduct, and conduct set forth by the department of health, by a person licensed under this chapter or an applicant for licensure constitutes unprofessional conduct:

  1. Failing to use a complete or accurate title in professional activity;
  2. Failure to conform to the provisions of the collaboration and consultation agreement;
  3. Acts of gross misconduct in the practice of their profession or gross or repeated malpractice or the failure to practice naturopathy with the level of care, skill, and treatment that is recognized by a reasonably prudent similar doctor of naturopathy as being acceptable under similar conditions and circumstances;
  4. Harassing, intimidating, or abusing a patient;
  5. Agreeing with any other person or organization, or subscribing to any code of ethics or organizational bylaws, when the intent or primary effect of that agreement, code, or bylaw is to restrict or limit the flow of information concerning alleged or suspected unprofessional conduct to the board;
  6. Abandonment of a patient;
  7. Gross overcharging for professional services on repeated occasions, including filing of false statements for collection of fees for which services were not rendered;
  8. Sexual harassment of a patient;
  9. Engaging in an inappropriate sexual act with a patient;
  10. Willful misrepresentation in treatments;
  11. Practicing naturopathy in an area or areas of specialty in which the licensee is not trained to practice.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-16. Refusal or revocation of a license — Process.

  1. The division of professional regulation of the department of health may, after notice and hearing, in its discretion, refuse to grant the license provided for in this chapter to any doctor of naturopathy who has violated any of the laws of the state affecting the ability of any doctor of naturopathy to practice naturopathy, or who had been guilty of unprofessional conduct or conduct of a character likely to deceive or defraud the public, and may, after notice and hearing, revoke or suspend any license issued or granted by it for like causes or for any fraud or deception committed in obtaining the license.
  2. The division of professional regulation of the department of health may refuse to accept the return of a license tendered by the subject of a disciplinary investigation and may notify relevant state, federal, and local agencies and appropriate bodies in other states of the status of any pending or completed disciplinary case against the licensee, provided that notice against the licensee has been served or disciplinary action against that person has been taken.
  3. The division of professional regulation of the department of health shall serve a copy of its decision or ruling upon any person whose certificate has been revoked or refused.
  4. The burden of proof in a disciplinary action shall be on the state to show by a preponderance of the evidence that the person has engaged in unprofessional conduct.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-17. Complaints.

  1. Any person may report to the division of professional regulation in writing any information the person has reason to believe indicates that a doctor of naturopathy is, or may be, medically or legally incompetent; engaged in the unauthorized practice of naturopathy; guilty of unprofessional conduct; or mentally or physically unable to engage safely in the practice of naturopathy.
  2. Upon receiving a credible complaint or report concerning a licensee, or on its own motion, the division of professional regulation may investigate any evidence that appears to show a licensee may be medically incompetent; guilty of unprofessional conduct; or mentally or physically unable to engage safely in the practice of naturopathy.
  3. Within ten (10) days of receipt thereof, the division of professional regulation shall acknowledge receipt of all reports required by this section and any complaint against a licensee. Within ten (10) days thereafter, the division shall inform any person or entity whose report has resulted in action by the division of the final disposition of the matter.
  4. Any person aggrieved by the decision or ruling of the department of health, or of the division of professional regulation, in regard to any of the provisions of this chapter, may appeal to the superior court in the manner provided for in chapter 35 of title 42.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-18. Informed consent and disclosure.

Prior to initiating treatment by a doctor of naturopathy each patient must read and sign a disclosure statement containing the following information:

  1. Rhode Island does not recognize doctors of naturopathy as primary-care providers and a doctor of naturopathy is not responsible for the overall medical care of any patient.
  2. Naturopathic care is intended only as an adjunct to, and not a substitute for, medical care from a physician, physician assistant (PA), or advanced practice registered nurse (APRN), and doctors of naturopathy shall coordinate patient care with physicians and other healthcare providers.
  3. Patients are urged to have a primary-care provider and to have all specialty care provided by a properly credentialed physician specialist.
  4. Doctors of naturopathy are not licensed to prescribe drugs or to advise patients regarding prescription drugs beyond possible dietary supplement/herb — prescription drug interactions. All questions regarding prescription medications should be directed to the prescriber or to the patient’s primary-care provider or licensed registered pharmacist.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

5-36.1-19. Severability.

The provisions of this chapter are severable and if any of the provisions of this chapter are held unconstitutional by any court of competent jurisdiction, the decision of that court does not affect or impair any of the remaining provisions.

History of Section. P.L. 2017, ch. 230, § 1; P.L. 2017, ch. 329, § 1.

Chapter 37 Board of Medical Licensure and Discipline

5-37-1. Definitions.

As used in this chapter:

  1. “Board” means the Rhode Island board of medical licensure and discipline or any committee or subcommittee thereof.
  2. “Chief administrative officer” means the administrator of the Rhode Island board of medical licensure and discipline.
  3. “Department” means the Rhode Island department of health.
  4. “Director” means the director of the Rhode Island department of health.
  5. “Healthcare facility” means any institutional health-service provider licensed pursuant to the provisions of chapter 17 of title 23.
  6. “Health-maintenance organization” means a public or private organization licensed pursuant to the provisions of chapter 17 of title 23 or chapter 41 of title 27.
  7. “Limited registrant” means a person holding a limited-registration certificate pursuant to the provisions of this chapter.
  8. “Medical malpractice” or “malpractice” means any tort, or breach of contract, based on health care or professional services rendered or that should have been rendered, by a physician, dentist, hospital, clinic, health-maintenance organization, or professional service corporation providing healthcare services and organized under chapter 5.1 of title 7, to a patient or the rendering of medically unnecessary services except at the informed request of the patient.
  9. “Medical-practice group” means a single legal entity formed primarily for the purpose of being a physician group practice in any organizational form recognized by the state in which the group practice achieves its legal status, including, but not limited to, a partnership, professional corporation, limited-liability company, limited-liability partnership, foundation, not-for-profit corporation, faculty practice plan, or similar association.
  10. “Medical record” means a record of a patient’s medical information and treatment history maintained by physicians and other medical personnel, which includes, but is not limited to, information related to medical diagnosis, immunizations, allergies, x-rays, copies of laboratory reports, records of prescriptions, and other technical information used in assessing the patient’s health condition, whether such information is maintained in a paper or electronic format.
  11. “Nonprofit medical-services corporation” or “nonprofit hospital-service corporation” means any corporation organized pursuant to chapter 19 or chapter 20 of title 27 for the purpose of establishing, maintaining, and operating a nonprofit medical-service plan.
    1. “Peer-review board” means any committee of a state or local professional association or society including a hospital association, or a committee of any licensed healthcare facility, or the medical staff thereof, or any committee of a medical-care foundation or health-maintenance organization, or any committee of a professional-service corporation or nonprofit corporation employing twenty (20) or more practicing professionals, organized for the purpose of furnishing medical service, or any staff committee or consultant of a hospital-service or medical-service corporation, the function of which, or one of the functions of which, is to evaluate and improve the quality of health care rendered by providers of healthcare services or to determine that healthcare services rendered were professionally indicated or were performed in compliance with the applicable standard of care or that the cost of health care rendered was considered reasonable by the providers of professional healthcare services in the area and shall include a committee functioning as a utilization-review committee under the provisions of 42 U.S.C. § 1395 et seq. (Medicare law) or as a professional-standards review organization or statewide professional-standards review council under the provisions of 42 U.S.C. § 1301 et seq. (professional-standards review organizations) or a similar committee or a committee of similar purpose, to evaluate or review the diagnosis or treatment of the performance or rendition of medical or hospital services that are performed under public medical programs of either state or federal design.
    2. “Peer-review board” also means the board of trustees or board of directors of a state or local professional association or society, a licensed healthcare facility, a medical-care foundation, a health-maintenance organization, and a hospital-service or medical-service corporation only when such board of trustees or board of directors is reviewing the proceedings, records, or recommendations of a peer-review board of the above enumerated organizations.
  12. “Person” means any individual, partnership, firm, corporation, association, trust or estate, state or political subdivision, or instrumentality of a state.
  13. “Physician” means a person with a license to practice allopathic or osteopathic medicine in this state under the provisions of this chapter.
  14. “Practice of medicine” includes the practice of allopathic and osteopathic medicine. Any person is regarded as practicing medicine within the meaning of this chapter who holds himself or herself out as being able to diagnose, treat, operate, or prescribe for any person ill or alleged to be ill with disease, pain, injury, deformity, or abnormal physical or mental condition, or who either professes to heal, offer, or undertake, by any means or method, to diagnose, treat, operate, or prescribe for any person for disease, pain, injury, deformity, or physical or mental condition. In addition, one who attaches the title, M.D., physician, surgeon, D.O., osteopathic physician, and surgeon, or any other similar word or words or abbreviation to his or her name indicating that he or she is engaged in the treatment or diagnosis of the diseases, injuries, or conditions of persons, shall be held to be engaged in the practice of medicine.

History of Section. G.L. 1923, ch. 159, § 8; P.L. 1927, ch. 1029, § 3; G.L. 1938, ch. 275, § 8; G.L. 1956, § 5-37-1 ; P.L. 1986, ch. 301, § 5; P.L. 1988, ch. 502, § 1; P.L. 1997, ch. 148, § 1; P.L. 1997, ch. 351, § 1; P.L. 2004, ch. 610, § 1; P.L. 2012, ch. 91, § 1; P.L. 2012, ch. 96, § 1.

Cross References.

Birth reports, § 23-3-10 .

Corporations for practice, § 7-5.1-1 et seq.

Death certificates, § 23-3-16 et seq.

Exemption from electrolysis law, § 5-32-16 .

Exemption from barbers’ and hairdressers’ law, § 5-10-29 .

Exemption from militia duty, § 30-1-7 .

Exemption from optometry law, § 5-35.1-17 .

Nonprofit medical service corporations, § 27-20-1 et seq.

Occupational diseases, examinations and reports, § 28-34-5 .

Ophthalmia neonatorum, treatment, § 23-13-4 .

Podiatrists, § 5-29-1 et seq.

Reports of disease and disability, § 23-5-5 et seq.

School physicians, employment and duties, § 16-21-9 .

Selection of physician by employee entitled to workers’ compensation, § 28-33-8 .

Sexually transmitted disease reports, § 23-11-6 .

Tuberculosis reports, § 23-10-2 .

Vaccination records, § 23-6-5 .

Workers’ compensation, examination of claimant, § 28-33-34 .

Comparative Legislation.

Physicians and surgeons:

Conn. Gen. Stat. § 20-8a et seq.

Mass. Ann. Laws ch. 13, § 10 et seq.; ch. 112, § 2 et seq.

NOTES TO DECISIONS

Construction With Other Laws.

G.L. 1896, ch. 155, prohibiting the practice of dentistry without a certificate, was to be construed in connection with this chapter. State v. Beck, 21 R.I. 288 , 43 A. 366, 1899 R.I. LEXIS 49 (1899).

Laboratories.

Laboratories, such as the corporations in this case, are not included within the definition of medical malpractice; laboratories do not fall within the ambit of a physician, dentist, hospital, clinic, or professional service corporation, and because laboratories are licensed under a certain chapter, they do not meet the definition of health maintenance organizations within the definition of medical malpractice, and in the absence of contrary language, the Legislature did not intend for negligence actions against laboratories to fall under the ambit of medical malpractice. Ho-Rath v. R.I. Hosp., 89 A.3d 806, 2014 R.I. LEXIS 51 (R.I. 2014), aff'd, 275 A.3d 100, 2022 R.I. LEXIS 49 (R.I. 2022).

Medical Malpractice.

Negligent performance of a sterilization procedure which results in the birth of a child is a tort for which recovery may be allowed. Emerson v. Magendantz, 689 A.2d 409, 1997 R.I. LEXIS 69 (R.I. 1997).

In an action for negligent sterilization resulting in the birth of a child, plaintiffs would be entitled to recover the medical expenses of the ineffective sterilization procedure, the medical and hospital costs of the pregnancy, the expense of a subsequent sterilization procedure, loss of wages, loss of consortium to the spouse arising out of the unwanted pregnancy, and medical expenses for prenatal care, delivery, and postnatal care. However, no recovery would be allowed for emotional distress arising out of the birth of a healthy child. Emerson v. Magendantz, 689 A.2d 409, 1997 R.I. LEXIS 69 (R.I. 1997).

Physicians and Surgeons.

A physician is one who practices the art of healing disease and preserving health and is a prescriber of remedies for sickness and disease. State v. Beck, 21 R.I. 288 , 43 A. 366, 1899 R.I. LEXIS 49 (1899).

Under the provisions of this section, which defines “physician” and the circumstances under which a psychologist can treat patients without “practicing medicine,” the administrator of a federal retirement plan has the discretion to decide that a psychologist does not qualify as a physician, and can reject all claims by plan participants who choose to be treated by a psychologist. Vukic v. Melville Corp., 39 F. Supp. 2d 163, 1999 U.S. Dist. LEXIS 4180 (D.R.I. 1999).

Practice of Medicine.

The words “practice of medicine” are used in the ordinary and popular sense. State v. Mylod, 20 R.I. 632 , 40 A. 753, 1898 R.I. LEXIS 128 (1898); State v. Heffernan, 28 R.I. 20 , 65 A. 284, 1906 R.I. LEXIS 5 (1906).

Voluntary Organizations.

A private organization in which membership is voluntary and not required in order to practice medicine or psychiatry was not barred by res judicata from conducting an investigation of a psychiatrist since the organization had rendered an expert opinion during disciplinary investigation conducted by the Department of Health, Board of Medical Licensure arising from the same conduct that the organization wished to investigate. Goldstein v. Rhode Island Psychiatric Soc'y, 692 A.2d 325, 1997 R.I. LEXIS 114 (R.I. 1997).

Collateral References.

Arbitration of medical malpractice claims. 24 A.L.R.5th 1.

Dentist as a physician or surgeon within statutes. 115 A.L.R. 261.

Hypnotism as illegal practice of medicine. 85 A.L.R.2d 1128.

Independent contractors, physicians and surgeons as. 19 A.L.R. 1183.

Liability for incorrectly diagnosing existence or nature of pregnancy. 2 A.L.R.5th 769.

Liability for interference with physician-patient relationship. 87 A.L.R.4th 845.

Liability of hospital, physician, or other medical personnel for death or injury to child caused by improper post-delivery diagnosis, care, and representations. 2 A.L.R.5th 811.

Meaning of term “physicians.” 8 A.L.R. 1070; 56 A.L.R. 706.

Medical malpractice liability of sports medicine care providers for injury to, or death of, athlete. 33 A.L.R.5th 619.

Medical malpractice: Physician’s admission of negligence as establishing standard of care and breach of that standard. 42 A.L.R.5th 1.

Optometry as within statute relating to practice of medicine. 22 A.L.R. 1173.

Physicians’ and surgeons’ liens. 39 A.L.R.5th 787.

Tort liability of medical society or professional association for failure to discipline or investigate negligent or otherwise incompetent medical practitioner. 72 A.L.R.4th 1148.

5-37-1.1. Board of medical licensure and discipline — Creation — Composition — Appointment, removal, and compensation of members — Officers — Meetings — Funds.

    1. There is created within the department of health, the Rhode Island board of medical licensure and discipline which is composed of the following members:
      1. Four (4) licensed physicians who possess the degree of doctor of allopathic medicine; one of whom shall be a full-time medical school faculty member;
      2. Two (2) licensed physicians who hold the degree of doctor of osteopathic medicine;
      3. Five (5) public members, one of whom is an attorney with experience as plaintiff’s counsel in the presentation or prosecution of medical malpractice matters, and one of whom is a member of the general public, not associated with the medical field, who is at least sixty (60) years of age; and three (3) of whom are public members not associated with the medical field;
      4. One hospital administrator; and
      5. The director of the department of health who shall serve as chairperson of the board.
    2. The governor shall appoint the members of the board except that prior to appointing the six (6) physician members the governor may submit a list of all candidates to the appropriate medical or osteopathic societies for comments as to their qualifications. When the board is first selected, six (6) members shall be appointed for a term of three (3) years, five (5) members shall be appointed for a term of two (2) years, and two (2) members shall be appointed for a term of one year. No member shall be appointed for more than two (2) consecutive full terms. A member appointed for less than a full term (originally or to fill a vacancy) may serve two (2) full terms in addition to that part of a full term, and a former member is again eligible for appointment after a lapse of one or more years. All subsequent appointments to the board shall be for a term of three (3) years. Any member of the board may be removed by the governor for neglect of duty, misconduct, malfeasance, and misfeasance in office after being given a written statement of the charges against him or her and sufficient opportunity to be heard. The board shall elect from its members a vice-chairperson who, in the absence of the chairperson, shall exercise all powers of the chairperson, and a secretary. These officers shall serve for one year or until their successors are appointed and qualified. The board shall meet at least once a month or more often upon the call of the chairperson, director of the department of health, or chief administrative officer, at the times and places that the chairperson designates.
  1. Members of the board shall not be paid for the discharge of official duties.
  2. The administration of the board shall be funded from annual fees. The director, as stated in § 5-37-10 , in consultation with the board, shall determine the amount of the annual fee to be charged to each licensed physician and to hospitals, the payment of which is a condition to practicing medicine or rendering hospital services in the state. The director or chief administrative officer has the authority to suspend or revoke the license of any physician who does not pay the annual fee. Monies shall be received by the department and credited to a restricted receipt account. All monies in that fund shall be utilized only for the purposes of maintaining, managing, operating, and administering the board of medical licensure and discipline in carrying out its functions. The fees and date of collection of all funds to be collected for the initial registrations and licenses issued pursuant to this title shall be as the director by regulation shall establish.

History of Section. P.L. 1983, ch. 253, § 15; P.L. 1986, ch. 301, § 5; P.L. 2005, ch. 117, art. 21, § 14.

Collateral References.

Existence, nature, and application to medical professional disciplinary board of privilege against disclosure of identity of informer. 86 A.L.R.4th 1024.

5-37-1.2. Examining committees.

  1. The chairperson shall appoint two (2) physician members of the board who possess the degree of doctor of medicine or osteopathic medicine and one public member of the board to serve as an examining committee for applicants applying for licensure as allopathic or osteopathic physicians. The examining committee for allopathic or osteopathic physicians shall recommend to the full board, who shall recommend to the director, applicants for licensure to practice allopathic or osteopathic medicine who meet all requirements for licensure pursuant to this chapter and other applicable sections of the general laws of the state.
  2. The members of the examining committee shall serve for a term of one year and may be reappointed.

History of Section. P.L. 1986, ch. 301, § 6; P.L. 2003, ch. 65, § 1; P.L. 2003, ch. 76, § 1.

5-37-1.3. Board of medical licensure and discipline — Powers and duties.

The board has the following duties and powers:

  1. To adopt, amend, and rescind rules and regulations, with the approval of the director, necessary to carry out the provisions of this chapter;
  2. To investigate all complaints and charges of unprofessional conduct against any licensed physician or limited registrant and hold hearings to determine whether those charges are substantiated or unsubstantiated;
  3. To direct the director of the department of health to license qualified applicants;
  4. To appoint one or more members of the board to act for the members of the board in investigating the conduct or competence of any licensed physician or limited registrant;
  5. To direct the director to revoke or suspend licenses or registrations, or implement other disciplinary action against persons licensed or registered under this chapter;
  6. To issue subpoenas and administer oaths in connection with any investigations, hearings, or disciplinary proceedings held under the authority of this chapter as follows:
    1. All subpoenas issued pursuant to this section shall only be issued by a vote of either the investigating committee or the full board;
    2. All subpoenas issued by the board or the investigating committee shall be served by a disinterested party or by a constable authorized by the courts to serve process;
    3. Subpoenas issued by either the investigating committee or the full board shall have a reasonable return date that will allow the recipient an opportunity to review the subpoena, consult with counsel, and prepare a response to the subpoena; and
    4. All subpoenas shall be in compliance with the Rhode Island healthcare confidentiality act;
  7. To take or cause depositions to be taken as needed in any investigation, hearing, or proceeding;
  8. To summon and examine witnesses during any investigation, hearing, or proceeding conducted by the board;
  9. To adopt and publish, with the approval of the director, rules of procedure and other regulations in accordance with the administrative procedures act, chapter 35 of title 42;
    1. To require a licensee to undergo a physical or psychiatric examination by a physician acceptable to the board, from a list provided to the licensee by the board, if probable cause exists to believe that allegations of misconduct against a licensee are caused by an impairment that has directly affected the ability of the licensee to conduct his or her practice professionally.
    2. The investigating committee and the board may not discriminate on the basis of disability in the administration of the licensing program, nor subject qualified individuals with disabilities to any discrimination on the basis of disability in its complaint procedure. All decisions of the investigating committee and the board shall be based on the allegation of unprofessional conduct and not due to probable cause of the conduct being related to the disability of the licensee;
  10. To advise the licensee of the availability of the physicians health committee of the Rhode Island Medical Society, and in appropriate instances, to refer licensees to that committee for evaluation by appropriate medical professionals.

History of Section. P.L. 1986, ch. 301, § 6; P.L. 1998, ch. 318, § 1; P.L. 2016, ch. 486, § 1; P.L. 2016, ch. 493, § 1.

NOTES TO DECISIONS

Confidentiality.

Where a doctor failed to prove that a hospital expressly or impliedly agreed that the doctor’s application files were confidential and would not be released to the state licensure board and the hospital was obligated, pursuant to R.I. Gen. Laws § 5-37-1.3 , to respond to the board’s subpoena duces tecum and produce the requested materials, the doctor failed to present a disputed material issue of fact; therefore, the hospital was entitled to summary judgment. Mills v. R.I. Hosp., 828 A.2d 526, 2003 R.I. LEXIS 172 (R.I. 2003).

Collateral References.

Existence, nature, and application to medical professional disciplinary board of privilege against disclosure of identity of informer. 86 A.L.R.4th 1024.

5-37-1.4. Director — Powers and duties.

The director has the following duties and powers:

  1. With the prior approval of the governor, the director shall appoint a chief administrative officer who shall administer and supervise the investigatory and other activities of the board. The chief administrative officer shall be selected from a list of not less than three (3) names compiled and submitted to the governor by a search committee. The search committee shall consist of four (4) individuals: the director or his designee; one public member appointed by the board; one appointed by the governor; and one physician member appointed by the board. To be included on the list of potential appointees, an individual must have unanimous approval of the members of the search committee. The chief administrative officer shall report to the director of the department of health and the board who establishes the further duties of the chief administrative officer;
  2. With the prior approval of the governor, to appoint legal counsel and any assistant legal counsel that may be required;
  3. In consultation with the board, to make contracts and arrangements for the performance of administrative and similar services required, or appropriate, or necessary to effectuate the provisions of this chapter;
  4. In consultation with the board, to hire professional and clerical staff necessary to carry out the functions of the board;
  5. To issue, pursuant to any rules and regulations promulgated by the board and approved by the director, all licenses and registrations required by this chapter to qualified applicants;
  6. To deny, revoke, or suspend licenses and registrations or discipline licensees in accordance with the provisions of this chapter; and
  7. To exercise all other powers specifically conferred upon him or her by this chapter or other applicable sections of the general laws of the state.

History of Section. P.L. 1986, ch. 301, § 6.

5-37-1.5. Immunity.

  1. The director of the department of health, chief administrative officer, board members, and their agents and employees are immune from suit in any action, civil or criminal, based on any disciplinary proceeding or other official act performed in good faith in the course of their duties under this chapter. There is no civil liability on the part of, or cause of action of any nature against, the board, director, their agents or their employees, or against any organization or its members, peer-review board or its members, or other witnesses and parties to board proceedings for any statements made in good faith by them in any reports, communications, or testimony concerning an investigation by the board of the conduct or competence of a licensed physician or limited registrant.
  2. No licensed healthcare provider, physician, or limited registrant may discharge, threaten, or discriminate against an employee, staff member, or any other person for making a report to, giving testimony to, or providing any other communication to the board, a peer-review organization, or any appropriate supervisory personnel concerning the unprofessional conduct or incompetence or negligence of a physician or limited registrant; provided, that the report, testimony, or other communication was made in good faith.

History of Section. P.L. 1986, ch. 301, § 6; P.L. 1986, ch. 350, § 11.

NOTES TO DECISIONS

Immunity.

Since an attorney who worked with the State of Rhode Island Department of Health Board of Medical Licensure and Discipline was statutorily immune from suit, a trial court properly dismissed a doctor’s hybrid administrative and civil rights action against the attorney and against the board. Mills v. State Dep't of Mental Health Bd. of Med. Licensure & Discipline, 863 A.2d 202, 2004 R.I. LEXIS 206 (R.I. 2004), cert. denied, 544 U.S. 906, 125 S. Ct. 1609, 161 L. Ed. 2d 280, 2005 U.S. LEXIS 2268 (2005).

5-37-2. License to practice — Qualifications of applicants — Fee — Reexamination.

    1. Authority to practice allopathic or osteopathic medicine under this chapter shall be by a license issued by the director of the department of health to any reputable physician who intends to practice allopathic or osteopathic medicine in this state, and who meets the requirements for licensure established in this chapter and regulations established by the board or by the director. Applicants for licensure shall present satisfactory evidence of graduation from a medical school or school of osteopathic medicine approved by the board and in good standing; shall meet postgraduate training requirements and any other requirements that the board or director establishes by regulation; and shall pass in a satisfactory manner any examination that the board may require. Any physician applying for licensure shall pay a nonrefundable application fee and when applicable a reexamination fee for each reexamination, in a total amount as set forth in § 23-1-54 .
    2. A license to practice allopathic medicine shall be issued to persons who have graduated from a school of medicine, possess a degree of doctor of medicine (or meet the requirements of subsection (b) of this section), and meet the requirements for licensure.
    3. A license to practice osteopathic medicine shall be issued to persons who have graduated from a school of osteopathic medicine and possess a degree of doctor of osteopathy and otherwise meet the requirements for licensure. A license to practice osteopathic medicine shall confer upon the holder the right to practice osteopathic medicine in all its branches as taught and practiced in accredited colleges of osteopathic medicine. The holder of that license shall be subject to the same duties and liabilities and entitled to the same rights and privileges that may be imposed by law or governmental regulation upon physicians of any school of medicine.
    1. Qualification of Certain Other Applicants for License.  Notwithstanding any other provisions of this section, an individual, who at the time of his or her enrollment in a medical school outside the United States is a citizen of the United States, shall be eligible to apply for a certificate pursuant to this section if he or she has satisfied the following requirements:
      1. Has studied medicine in a medical school located outside the United States, which is recognized by the World Health Organization;
      2. Has completed all of the formal requirements of the foreign medical school except internship and/or social service;
      3. Has attained a score satisfactory to a medical school approved by the Liaison Committee on Medical Education on a qualifying examination acceptable to the state board for medicine, and has satisfactorily completed one academic year of supervised clinical training under the direction of any United States medical school;
      4. Has completed the postgraduate hospital training required by the board of applicants for licensure; and
      5. Has passed the examination required by the board of all applicants for licensure.
    2. Satisfaction of the requirements of subsection (b)(1) is in lieu of the completion of any foreign internship and/or social-service requirements, and no such requirements are a condition of licensure as a physician in this state.
    3. Satisfaction of the requirements of subsection (b)(1) is in lieu of certification by the Educational Council for Foreign Medical Graduates, and this certification is not a condition of licensure as a physician in this state.
    4. No hospital licensed by this state, or operated by the state or a political subdivision of the state, or that receives state financial assistance, directly or indirectly, shall require an individual, who at the time of his or her enrollment in a medical school outside the United States is a citizen of the United States, to satisfy any requirements other than those contained in subsections (b)(1)(i), (b)(1)(ii), and (b)(1)(iii) prior to commencing an internship or residency.
    5. A document granted by a medical school located outside the United States that is recognized by the World Health Organization issued after the completion of all the formal requirements of that foreign medical school except internship and/or social service, upon certification by the medical school in which this training was received of satisfactory completion by the person to whom this document was issued of the requirements in subsection (b)(1)(iii), shall be deemed the equivalent of a degree of doctor of medicine for purposes of licensure and practice as a physician in this state.
    6. No funds appropriated by the general assembly to any school or college of medicine shall be disbursed until the director of the department of health has certified that this school or college has established, and will maintain until December 31, 1989, a clinical training program as contemplated by subsection (b)(1)(iii), to accommodate residents of this state deemed qualified by that school or college of medicine consistent with that school’s or college’s educational resources.

History of Section. G.L. 1896, ch. 165, § 3; P.L. 1901, ch. 926, § 1; P.L. 1908, ch. 1579, § 1; G.L. 1909, ch. 193, § 3; P.L. 1914, ch. 1057, § 1; P.L. 1915, ch. 1216, § 1; G.L. 1923, ch. 159, § 3; P.L. 1927, ch. 1029, § 1; G.L. 1938, ch. 275, § 3; impl. am. P.L. 1939, ch. 660, § 180; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-37-2 ; P.L. 1960, ch. 76, § 19; P.L. 1971, ch. 203, § 2; P.L. 1974, ch. 70, § 1; P.L. 1976, ch. 308, § 1; P.L. 1979, ch. 50, § 1; P.L. 1983, ch. 164, § 1; P.L. 1986, ch. 59, § 1; P.L. 1986, ch. 301, § 5; P.L. 1986, ch. 387, § 1; P.L. 1999, ch. 354, § 7; P.L. 2001, ch. 77, art. 14, § 12; P.L. 2007, ch. 73, art. 39, § 10; P.L. 2012, ch. 241, art. 9, § 12.

Cross References.

Board of examiners, § 5-26-2 .

Examinations, § 5-26-5 .

Functions of department of health, § 42-18-1 .

NOTES TO DECISIONS

Constitutionality.

This section did not conflict with R.I. Const., Art. I, § 10 or U.S. Const., Amend. XIV, § 1, as amounting to an unreasonable classification or with the provisions of R.I. Const., Art. I, § 2 , providing that all laws shall be made for the benefit of the whole. State v. Heffernan, 40 R.I. 121 , 100 A. 55, 1917 R.I. LEXIS 14 (1917).

Certificate.

One cannot lawfully practice medicine without a certificate. State v. Heffernan, 28 R.I. 20 , 65 A. 284, 1906 R.I. LEXIS 5 (1906).

Exemption From Requirements.

Dry goods merchant who studied at home, and thereafter ceased the active operation of the dry goods business, and practiced medicine in a limited section of the community for a short time prior to the passage of P.L. 1895, ch. 1353, was not “reputably and honorably engaged in the practice of medicine” prior to the passage of the act so as to be entitled to a license. Paquin v. State Bd. of Health, 19 R.I. 365 , 33 A. 870, 1896 R.I. LEXIS 6 (1896).

Medical Schools.

Where board was in the habit of granting certificates to graduates of a Canadian school who had practiced in Canada, refusal of certificate to a graduate merely because he had not practiced in Canada was not justified. Boucher v. State Bd. of Health, 19 R.I. 366 , 33 A. 878, 1896 R.I. LEXIS 12 (1896).

Collateral References.

“Grandfather clause” in regulations as to physicians and surgeons. 4 A.L.R.2d 667.

Interstate commerce clause as affecting requirement of license for practice of medicine or surgery. 82 A.L.R. 1388.

License, lack of, as affecting liability to patient for results of medical or surgical treatment. 44 A.L.R. 1418; 57 A.L.R. 978.

Restrictive medical or surgical license, construction of, as regards kinds or character of treatment. 86 A.L.R. 623.

Single or isolated transaction as falling within provisions of licensing requirements. 93 A.L.R.2d 129.

Tort claim for negligent credentialing of physician. 98 A.L.R.5th 533.

5-37-2.1. Recertification — Continuing medical education.

Effective beginning in calendar year 2004, every physician licensed to practice medicine within this state shall, in connection with biannual registration, on or before the first day of June in each even-numbered year, provide satisfactory evidence to the board of medical licensure and discipline that in the preceding two (2) years the practitioner has completed a prescribed course of continuing medical education established by the appropriate medical or osteopathic society and approved by rule or regulation of the director or by the board of medical licensure and discipline. The board may extend for only one six-month (6) period these educational requirements if the board is satisfied that the applicant has suffered hardship that prevented meeting the educational requirement. No recertification to practice medicine in this state shall be refused, nor shall any certificate be suspended or revoked except: (1) As provided for in this chapter, and (2) For failure to provide satisfactory evidence of continuing medical education as provided for in this section.

History of Section. P.L. 1976, ch. 244, § 2; P.L. 1980, ch. 373, § 1; P.L. 1986, ch. 301, § 5; P.L. 1998, ch. 65, § 1; P.L. 2003, ch. 249, § 1; P.L. 2003, ch. 339, § 1.

5-37-3. Itinerants disqualified.

Nothing in this chapter or chapter 30 of this title shall be construed to authorize any itinerant doctor to register or to practice medicine in any part of this state.

History of Section. G.L. 1896, ch. 165, § 4; G.L. 1909, ch. 193, § 4; G.L. 1923, ch. 159, § 4; G.L. 1938, ch. 275, § 4; G.L. 1956, § 5-37-3 ; P.L. 1986, ch. 301, § 5.

Cross References.

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

NOTES TO DECISIONS

Itinerant Defined.

Specialist who practiced in Boston, but who visited various cities throughout New England, including Providence, to consult with patients involving his specialty was an itinerant doctor within the meaning of this section. Evans v. State Bd. of Health, 19 R.I. 312 , 33 A. 878, 1895 R.I. LEXIS 90 (1895).

Collateral References.

Nonresidents, license law which discriminates against. 61 A.L.R. 346; 112 A.L.R. 63.

5-37-4. Refusal of licensure.

  1. The director at the direction of the board shall, after notice and hearing, in accordance with the procedures established in §§ 5-37-5.2 5-37-6.2 , refuse to grant the original license provided for in this chapter to any physician and/or applicant:
    1. Who is not of good moral character;
    2. Who does not meet the requirements for licensure prescribed in this chapter, regulations established by the board, and/or regulations promulgated by the director;
    3. Who has violated any laws affecting the ability of any physician and/or applicant to practice medicine; or
    4. Who has been found guilty in another state of conduct that, if committed in Rhode Island, would constitute unprofessional conduct as defined in § 5-37-5.1 and regulations adopted under that section.
  2. The director shall serve a copy of his or her decision or ruling upon any person whose original certificate has been refused.

History of Section. G.L. 1896, ch. 165, § 5; P.L. 1901, ch. 926, § 2; G.L. 1909, ch. 193, § 5; G.L. 1923, ch. 159, § 5; P.L. 1927, ch. 1029, § 2; G.L. 1938, ch. 275, § 5; G.L. 1956, § 5-37-4 ; P.L. 1962, ch. 85, § 1; P.L. 1976, ch. 244, § 2; P.L. 1986, ch. 301, § 5; P.L. 2021, ch. 400, § 9, effective July 13, 2021; P.L. 2021, ch. 401, § 9, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 9, and P.L. 2021, ch. 401, § 9 enacted identical amendments to this section.

Cross References.

Blood test of pregnant woman, failure to obtain, § 23-11-8 .

Communicable diseases, duty to report, § 23-8-1 .

Military duty, false medical certificate of inability to perform, § 30-5-4 .

Ophthalmia neonatorum, failure to report, penalties, § 23-13-8 .

Sexually transmitted diseases, failure to report, §§ 23-11-6 , 23-11-7 .

NOTES TO DECISIONS

Constitutionality.

The provisions as to hearings upon refusal or revocation of certificates did not conflict with R.I. Const., Art. X, § 1 . State Bd. of Health v. Roy, 22 R.I. 538 , 48 A. 802, 1901 R.I. LEXIS 50 (1901).

Proceedings for revocation of certificate did not deprive physician of property without due process of law in violation of R.I. Const., Art. I, § 10 or U.S. Const. Amend., Art. XIV, § 1. State Bd. of Health v. Roy, 22 R.I. 538 , 48 A. 802, 1901 R.I. LEXIS 50 (1901).

Complainants.

The state board of health was not the complainant in proceedings under G.L. 1896, ch. 165, § 5, as § 7 of the statute provided that complaints should be made by the secretary of the board, and under G.L. 1896, ch. 96, § 5, the secretary was a member of the board ex officio without right to vote on any question in which he might be personally interested. State Bd. of Health v. Roy, 22 R.I. 538 , 48 A. 802, 1901 R.I. LEXIS 50 (1901).

Fraud and Deception.

In a proceeding to revoke a duplicate certificate of authority to practice medicine, the evidence sustained the finding that the respondent did not take the examination and that no original certificate had been issued to him and that the duplicate certificate was obtained by fraud. Board of Examiners in Medicine v. Jacobson, 71 R.I. 129 , 42 A.2d 887, 1945 R.I. LEXIS 27 (1945).

Gross Unprofessional Conduct.

Obtaining certificate to practice medicine by presenting a diploma issued to another as one issued to the applicant was gross unprofessional conduct within the meaning of this section. State Bd. of Health v. Roy, 22 R.I. 538 , 48 A. 802, 1901 R.I. LEXIS 50 (1901).

Hearing.

Proceeding under this section is not a case in which jury trial is reserved by R.I. Const., Art. I, § 15 , as cases of this class arose after adoption of the Constitution. State Bd. of Health v. Roy, 22 R.I. 538 , 48 A. 802, 1901 R.I. LEXIS 50 (1901).

Collateral References.

Acquittal or dismissal in criminal prosecution, effect of, on revocation of license of physician. 123 A.L.R. 779.

Admissibility and necessity of expert evidence in proceeding for revocation of license. 6 A.L.R. 675.

Advertising by physician, surgeon, or other person professing healing arts, constitutionality of statute or ordinance prohibiting or regulating. 54 A.L.R. 400.

Alcoholism, narcotics addiction, or misconduct with respect to alcoholic beverages or narcotics, as grounds for revocation or suspension of license to practice medicine. 93 A.L.R.2d 1398.

Conviction as proof of ground for revocation or suspension of license of physician or surgeon where conviction as such is not an independent cause. 167 A.L.R. 228.

Conviction, what amounts to, within statute making conviction ground for refusing license. 113 A.L.R. 1179.

Determination by board on its own knowledge, without expert evidence, in proceeding for revocation of license of. 74 A.L.R.4th 969.

Duty of physician or surgeon to advise patient of a possibility or probability of better results from treatment by specialist or by a mode of treatment which he is not qualified to give. 35 A.L.R.3d 349.

Duty of physician or surgeon to warn or instruct nurse or attendant. 4 A.L.R. 1527.

False claims, medical reports, or bills for medical services in personal injury litigation, revocation or suspension of physician’s or surgeon’s license for. 95 A.L.R.2d 873.

Governing law as to existence or character of offense for which one has been convicted in federal court or court of another state, as bearing upon disqualification to practice as physician or surgeon. 175 A.L.R. 803.

Grounds for revocation of license. 54 A.L.R. 1504; 82 A.L.R. 1184.

Hearsay in proceeding for suspension of revocation of license of physician or surgeon. 142 A.L.R. 1388.

Improper or immoral conduct towards female patient as ground for disciplinary measure against physician or dentist. 59 A.L.R.4th 1104.

Liquor law, violation of, as infamous crime or offense involving moral turpitude for which physician’s license may be revoked. 40 A.L.R. 1049; 71 A.L.R. 217.

Mandamus to compel restoration of license after revocation. 95 A.L.R. 1424.

Moral turpitude, what offenses involve, within statute providing grounds for denying license. 109 A.L.R. 1459.

Pardon as defense to proceedings for suspension or cancelation of license. 126 A.L.R. 257.

Physician’s conviction of offenses not directly related to medical practice as a ground of disciplinary action. 34 A.L.R.4th 609.

Professional incompetency as ground for disciplinary measure against physician or dentist. 28 A.L.R.3d 487.

Radio broadcasting station, newspapers, or magazines, practice of medicine through. 114 A.L.R. 1506.

Responsibility of physician or surgeon for acts or neglect of substitute. 46 A.L.R. 1455; 85 A.L.R.2d 889.

Revocability of license for fraud or other misconduct before or at the time of its issuance. 165 A.L.R. 1138.

Statutory power to revoke or suspend license of physician for “unprofessional conduct” as exercisable without antecedent adoption of regulation as to what shall constitute such conduct. 163 A.L.R. 909.

Validity of statute providing for revocation of license of physician or surgeon. 5 A.L.R. 94; 79 A.L.R. 323.

5-37-5. [Repealed.]

History of Section. P.L. 1906, ch. 1365, § 5; P.L. 1909, ch. 178, § 17; G.L. 1923, ch. 167, § 14; G.L. 1938, ch. 276, § 14; impl. am. P.L. 1939, ch. 660, § 180; G.L. 1956, § 5-37-5 ; Repealed by P.L. 1976, ch. 244, § 2.

5-37-5.1. Unprofessional conduct.

The term “unprofessional conduct” as used in this chapter includes, but is not limited to, the following items or any combination of these items and may be further defined by regulations established by the board with the prior approval of the director:

  1. Fraudulent or deceptive procuring or use of a license or limited registration;
  2. All advertising of medical business that is intended or has a tendency to deceive the public;
  3. Conviction of a felony; conviction of a crime arising out of the practice of medicine;
  4. Abandoning a patient;
  5. Dependence upon controlled substances, habitual drunkenness, or rendering professional services to a patient while the physician or limited registrant is intoxicated or incapacitated by the use of drugs;
  6. Promotion by a physician or limited registrant of the sale of drugs, devices, appliances, or goods or services provided for a patient in a manner as to exploit the patient for the financial gain of the physician or limited registrant;
  7. Immoral conduct of a physician or limited registrant in the practice of medicine;
  8. Willfully making and filing false reports or records in the practice of medicine;
  9. Willfully omitting to file or record, or willfully impeding or obstructing a filing or recording, or inducing another person to omit to file or record, medical or other reports as required by law;
  10. Failing to furnish details of a patient’s medical record to succeeding physicians, healthcare facility, or other healthcare providers upon proper request pursuant to § 5-37.3-4 ;
  11. Soliciting professional patronage by agents or persons or profiting from acts of those representing themselves to be agents of the licensed physician or limited registrants;
  12. Dividing fees or agreeing to split or divide the fees received for professional services for any person for bringing to or referring a patient;
  13. Agreeing with clinical or bioanalytical laboratories to accept payments from these laboratories for individual tests or test series for patients;
  14. Making willful misrepresentations in treatments;
  15. Practicing medicine with an unlicensed physician except in an accredited preceptorship or residency training program, or aiding or abetting unlicensed persons in the practice of medicine;
  16. Gross and willful overcharging for professional services; including filing of false statements for collection of fees for which services are not rendered, or willfully making or assisting in making a false claim or deceptive claim or misrepresenting a material fact for use in determining rights to health care or other benefits;
  17. Offering, undertaking, or agreeing to cure or treat disease by a secret method, procedure, treatment, or medicine;
  18. Professional or mental incompetency;
  19. Incompetent, negligent, or willful misconduct in the practice of medicine, which includes the rendering of medically unnecessary services, and any departure from, or the failure to conform to, the minimal standards of acceptable and prevailing medical practice in his or her area of expertise as is determined by the board. The board does not need to establish actual injury to the patient in order to adjudge a physician or limited registrant guilty of the unacceptable medical practice in this subsection;
  20. Failing to comply with the provisions of chapter 4.7 of title 23;
  21. Surrender, revocation, suspension, limitation of privilege based on quality of care provided, or any other disciplinary action against a license or authorization to practice medicine in another state or jurisdiction; or surrender, revocation, suspension, or any other disciplinary action relating to a membership on any medical staff or in any medical or professional association or society while under disciplinary investigation by any of those authorities or bodies for acts or conduct similar to acts or conduct that would constitute grounds for action as described in this chapter;
  22. Multiple adverse judgments, settlements, or awards arising from medical liability claims related to acts or conduct that would constitute grounds for action as described in this chapter;
  23. Failing to furnish the board, its chief administrative officer, investigator, or representatives, information legally requested by the board;
  24. Violating any provision or provisions of this chapter or the rules and regulations of the board or any rules or regulations promulgated by the director or of an action, stipulation, or agreement of the board;
  25. Cheating on or attempting to subvert the licensing examination;
  26. Violating any state or federal law or regulation relating to controlled substances;
  27. Failing to maintain standards established by peer-review boards, including, but not limited to: standards related to proper utilization of services, use of nonaccepted procedure, and/or quality of care;
  28. A pattern of medical malpractice, or willful or gross malpractice on a particular occasion;
  29. Agreeing to treat a beneficiary of health insurance under title XVIII of the Social Security Act, 42 U.S.C. § 1395 et seq., “Medicare Act,” and then charging or collecting from this beneficiary any amount in excess of the amount or amounts permitted pursuant to the Medicare Act;
  30. Sexual contact between a physician and patient during the existence of the physician/patient relationship;
  31. Knowingly violating the provisions of § 23-4.13-2(d) ; or
  32. Performing a pelvic examination or supervising a pelvic examination performed by an individual practicing under the supervision of a physician on an anesthetized or unconscious female patient without first obtaining the patient’s informed consent to pelvic examination, unless the performance of a pelvic examination is within the scope of the surgical procedure or diagnostic examination to be performed on the patient for which informed consent has otherwise been obtained or in the case of an unconscious patient, the pelvic examination is required for diagnostic purposes and is medically necessary.

History of Section. P.L. 1986, ch. 301, § 6; P.L. 1987, ch. 486, § 1; P.L. 1989, ch. 549, § 1; P.L. 1995, ch. 175, § 1; P.L. 1995, ch. 230, § 1; P.L. 1999, ch. 465, § 4; P.L. 2003, ch. 249, § 1; P.L. 2003, ch. 339, § 1; P.L. 2007, ch. 32, § 1; P.L. 2007, ch. 37, § 1; P.L. 2019, ch. 27, § 10; P.L. 2021, ch. 400, § 9, effective July 13, 2021; P.L. 2021, ch. 401, § 9, effective July 13, 2021; P.L. 2021, ch. 414, § 1, effective July 14, 2021; P.L. 2021, ch. 415, § 1, effective July 14, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 9, and P.L. 2021, ch. 401, § 9 enacted identical amendments to this section.

P.L. 2021, ch. 414, § 1, and P.L. 2021, ch. 415, § 1 enacted identical amendments to this section.

This section was amended by four acts ( P.L. 2021, ch. 400, § 9; P.L. 2021, ch. 401, § 9; P.L. 2021, ch. 414, § 1; P.L. 2021, ch. 415, § 1 ) as passed by the 2021 General Assembly. Since the acts are not in conflict with each other, the section is set out as amended by all four acts.

NOTES TO DECISIONS

Negligent Sterilization.

Negligent performance of a sterilization procedure which results in the birth of a child is a tort for which recovery may be allowed. Emerson v. Magendantz, 689 A.2d 409, 1997 R.I. LEXIS 69 (R.I. 1997).

In an action for negligent sterilization resulting in the birth of a child, plaintiffs would be entitled to recover the medical expenses of the ineffective sterilization procedure, the medical and hospital costs of the pregnancy, the expense of a subsequent sterilization procedure, loss of wages, loss of consortium to the spouse arising out of the unwanted pregnancy, and medical expenses for prenatal care, delivery, and postnatal care. However, no recovery would be allowed for emotional distress arising out of the birth of a healthy child. Emerson v. Magendantz, 689 A.2d 409, 1997 R.I. LEXIS 69 (R.I. 1997).

Unprofessional Conduct Not Found.

Trial court properly reversed the decision of the Department of Health Board of Medical Licensure and Discipline requiring a physician seeking to return to practice after signing an agreement to cease practice to complete a competence assessment program and fitness for duty evaluation because there was no evidentiary support that he was not clinically competent; the board never made a finding that the physician was guilty of unprofessional conduct. Kyros v. R.I. Dep't of Health, 253 A.3d 879, 2021 R.I. LEXIS 88 (R.I. 2021).

Collateral References.

Alcoholism, narcotics addiction, or misconduct with respect to alcoholic beverages or narcotics, as ground for revocation or suspension of license to practice medicine. 93 A.L.R.2d 1398.

Conviction of offense not directly related to medical practice as ground for action against physician or other healers. 34 A.L.R.4th 609.

Existence, nature, and application to medical professional disciplinary board of privilege against disclosure of identity of informer. 86 A.L.R.4th 1024.

Improper or immoral conduct towards female patient as ground for disciplinary measure against physician or dentist. 59 A.L.R.4th 1104.

Liability of chiropractors and other drugless practitioners for medical malpractice. 77 A.L.R.4th 273.

Liability of hospital, physician, or other medical personnel for death or injury to mother or child caused by improper choice between, or timing of, vaginal or cesarean delivery. 4 A.L.R.5th 148.

Liability of hospital, physician, or other medical personnel for death or injury to mother or child caused by improper procedures during cesarean delivery. 76 A.L.R.4th 1112.

Liability of hospital, physician, or other medical personnel for death or injury to mother or child caused by improper procedures during vaginal delivery. 4 A.L.R.5th 210.

Liability of hospital or medical practitioner under doctrine of strict liability in tort, or breach of warranty, for harm caused by drug, medical instrument, or similar device used in treating patient. 65 A.L.R.5th 357.

Malpractice in treatment of skin disease, disorder, blemish, or scar. 19 A.L.R.5th 563.

Physician’s or other healer’s conduct in connection with defense of or resistance to malpractice action as ground for revocation of license or other disciplinary action. 44 A.L.R.4th 248.

Wrongful or Excessive Prescription of Drugs as Ground for Revocation or Suspension of Physician’s or Dentist’s License to Practice. 19 A.L.R.6th 577.

5-37-5.2. Complaints.

  1. Any person, firm, corporation, or public officer may submit a written complaint to the board charging the holder of a license to practice medicine or limited registrant with unprofessional conduct, specifying the grounds for the complaint. The board shall review all complaints.
  2. If the board determines that the complaint merits consideration, or if the board, on its own initiative without a formal complaint, has reason to believe that any holder of a license or limited registration to practice medicine may be guilty of unprofessional conduct, the chairperson shall designate three (3) members of the board, at least one of whom shall be a public member, to serve as a committee to investigate the complaint. If the complaint relates to a procedure involving osteopathic manipulative treatment (OMT), at least one member of the investigating committee shall be an osteopathic physician member of the board.
  3. The investigating committee shall conduct its deliberations and make recommendations regarding the complaint to the board. In conducting an investigation of such complaints that require an inspection of a licensee’s office:
    1. Either the investigating committee or the full board shall make a finding that an inspection is required and this finding must be evidenced by recorded minutes showing the vote to conduct an inspection;
    2. The scope and manner of conducting any such inspection shall be reasonably related to the written complaint received. Any licensee whose office is the subject of such inspection shall be provided by either the investigating committee or the full board with a copy of the complaint or a written summary of all pertinent allegations prior to or at the commencement of the inspection;
    3. At the conclusion of the inspection and prior to leaving the licensee’s office premises, the board’s inspectors shall provide the licensee whose office has been inspected with a copy of the completed inspection form, noting areas of deficiency or follow-up;
    4. Unless there is a real potential of imminent, unreasonable harm to patients or staff, the licensee shall have ten (10) days to remedy any deficiencies found during the inspection; and
    5. All inspections shall be carried out so as not to interfere with direct patient care.
  4. No member of the board who participated in the investigation may participate in any subsequent hearing or action taken by the remainder of the board. Investigations shall remain confidential and all initial hearings, investigatory hearings, and full hearings before the board shall remain confidential.
    1. If the recommendation is no unprofessional conduct, the remaining members of the board shall review the relevant data and vote a final recommendation.
    2. If the investigating committee has probable cause to believe the alleged unprofessional conduct of the licensee is caused by an impairment that has directly affected the ability of the licensee to conduct his or her practice professionally, the committee may use its authority under § 5-37-1.3(10) to assist in further deliberations regarding the alleged misconduct of the licensee.
    3. In the event of a determination by the investigating committee of probable cause for a finding of unprofessional conduct, the accused may request a hearing (see §§ 5-37-5.3 and 5-37-5.4 ). A hearing committee shall be designated by the chairperson consisting of three (3) other members of the board, at least one of whom shall be a physician member and at least one of whom is a public member. If the complaint relates to a procedure involving osteopathic manipulative treatment (OMT), at least one member of the investigating committee shall be an osteopathic physician member of the board. The hearing shall be conducted by a hearing officer appointed by the director of the department of health. The hearing officer shall be responsible for conducting the hearing and writing a proposed findings of fact and conclusions of law along with a recommendation of a sanction, if warranted. The hearing committee shall read the transcript and review the evidence and, after deliberation, the hearing committee shall issue a final decision including conclusions of fact and of law. The board shall make public all decisions, including all conclusions against a license holder as listed in § 5-37-6.3 .

History of Section. P.L. 1986, ch. 301, § 6; P.L. 1988, ch. 385, § 1; P.L. 1989, ch. 534, § 2; P.L. 1995, ch. 181, § 1; P.L. 1998, ch. 318, § 1; P.L. 2003, ch. 176, § 1; P.L. 2003, ch. 177, § 1; P.L. 2016, ch. 486, § 1; P.L. 2016, ch. 493, § 1.

Collateral References.

Necessity of expert evidence in proceeding for revocation or suspension of license of physician, surgeon, or dentist. 74 A.L.R.4th 969.

5-37-5.3. Specification of charges.

When the investigating committee determines that action is required or the accused requests a hearing on allegations of unprofessional conduct, a specification of charges of unprofessional conduct against the licensee or limited registration holder shall be prepared by the investigating committee and a copy shall be served upon the accused, together with notice of the hearing, as provided in § 5-37-5.4 . A hearing shall then be scheduled before the hearing committee of the board.

History of Section. P.L. 1986, ch. 301, § 6; P.L. 1998, ch. 318, § 1.

5-37-5.4. Time and notice of hearing.

The time of the hearing shall be fixed by the hearing committee of the board as soon as is practicable. The hearing committee of the board shall issue a notice of a hearing of the charges, which shall specify the time and place of the hearing and shall notify the accused that he or she may file with the hearing committee of the board a written response within twenty (20) days of the date of service. The notice shall also notify the accused that a stenographic record of the proceedings will be kept; that he or she shall have the opportunity to appear personally and to have counsel present, with the right to produce witnesses and evidence in his or her own behalf; to cross-examine witnesses; to examine any documentary evidence that may be produced against him or her; and to have subpoenas issued by the hearing committee of the board.

History of Section. P.L. 1986, ch. 301, § 6.

Collateral References.

Right as to notice and hearing in proceeding to revoke or suspend license to practice medicine. 10 A.L.R.5th 1.

5-37-6. Subpoenas — Contempt.

Subpoenas may be issued by the board or the board’s constituted committees to compel the production of documents or other written records, or the attendance and testimony of witnesses, at any investigation or hearing. The board shall also issue subpoenas at the request and on behalf of the accused. If any person refuses to obey a subpoena or answer any proper question put to him or her during the hearing or proceeding, the superior court has jurisdiction, upon application by the board, to issue to that person an order requiring him or her to appear before the board or its hearing committee, to produce evidence if ordered, or to give testimony concerning the matter under investigation. Any failure to obey the order of the court may be punished by the court as civil contempt.

History of Section. G.L. 1896, ch. 165, § 5; P.L. 1901, ch. 926, § 2; C.P.A. 1905, § 1221; G.L. 1909, ch. 193, § 5; G.L. 1923, ch. 159, § 5; P.L. 1927, ch. 1029, § 2; G.L. 1938, ch. 275, § 5; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-37-6 ; P.L. 1986, ch. 301, § 5.

5-37-6.1. Report of hearing.

After holding a hearing, the hearing committee of the board shall make a written report of its findings of fact, conclusions of law, and disciplinary order, if any.

History of Section. P.L. 1986, ch. 301, § 6.

5-37-6.2. Decision of the board.

If a majority of the members of the board, sitting as the hearing committee, vote in favor of finding the accused guilty of unprofessional conduct as specified in the charges, the board shall prepare written findings of fact and law in support of that conclusion. The board shall immediately transmit its findings, together with an order stating the sanction to be imposed upon the accused, to the director who shall, as soon as practicable, order that appropriate action be taken in accordance with the order of the board. In no case shall a person be found guilty of unprofessional conduct unless a majority of the hearing committee votes in favor of finding the person guilty. If the accused is found not guilty, the board shall immediately issue an order dismissing the charges.

History of Section. P.L. 1986, ch. 301, § 6; P.L. 1988, ch. 385, § 1; P.L. 1989, ch. 534, § 2.

NOTES TO DECISIONS

No Support for Decision.

Trial court properly reversed a decision of the Department of Health Board of Medical Licensure and Discipline requiring a physician seeking to return to practice after signing an agreement to cease practice to complete a competence assessment program and fitness for duty evaluation because the board wholly failed to make findings of fact that supported its conclusion that the physician needed to attend post-discipline programs to assess his clinical competency. Kyros v. R.I. Dep't of Health, 253 A.3d 879, 2021 R.I. LEXIS 88 (R.I. 2021).

5-37-6.3. Sanctions.

If the accused is found guilty of unprofessional conduct as described in § 5-37-6.2 , the director, at the direction of the board, shall impose one or more of the following conditions:

  1. Administer a reprimand;
  2. Suspend or limit or restrict his or her license or limited registration to practice medicine;
  3. Require him or her to serve a period of probation subject to certain conditions and requirements including, where appropriate, sanctions or restitution;
  4. Revoke indefinitely his or her license or limited registration to practice medicine;
  5. Require him or her to submit to the care, counseling, or treatment of a physician or program acceptable to the board;
  6. Require him or her to participate in a program of continuing medical education in the area or areas in which he or she has been judged deficient;
  7. Require him or her to practice under the direction of a physician in a public institution, public or private healthcare program, or private practice for a period of time specified by the board;
  8. Assess against the physician the administrative costs of the proceedings instituted against the physician under this chapter; provided, that this assessment does not exceed thirty thousand dollars ($30,000);
  9. Any other conditions or restrictions deemed appropriate under the circumstances.

History of Section. P.L. 1986, ch. 301, § 6; P.L. 1999, ch. 354, § 7; P.L. 2021, ch. 396, § 1, effective July 14, 2021; P.L. 2021, ch. 397, § 1, effective July 14, 2021.

Compiler's Notes.

P.L. 2021, ch. 396, § 1, and P.L. 2021, ch. 397, § 1 enacted identical amendments to this section.

5-37-7. Appeal from the decision of the director.

  1. Any person whose license or limited registration to practice medicine has been revoked or suspended by the director or board, or is aggrieved by the decision of the board and/or director, has the right of judicial review of the decision of the board and director. This review shall be initiated by serving on the director a notice of appeal and filing such notice of appeal with a complaint in accordance with the rules of civil procedure in the superior court within thirty (30) days after the decision of the director.
  2. The director shall, within twenty (20) days after the service of the notice of appeal, transmit to the clerk of the superior court to which the appeal is taken, a transcript of the record of the board certified under the seal of the board, together with a certified copy of the board’s written findings, all of which shall be admissible as evidence.
  3. The findings of the board and/or director shall be final and conclusive, subject to review in the superior court pursuant to the administrative procedures act, chapter 35 of title 42. Any appeal taken to the superior court shall have precedence on the calendar, be considered an emergency matter, and shall be heard in any event not later than thirty (30) days from the date of appeal when practicable. There shall be no stay pending the appeal of any sanction imposed by the director unless it is determined that the matter cannot be placed on the court’s docket within the specified time. Except as provided in this chapter, appeals follow the procedures established in the administrative procedures act in chapter 35 of title 42.

History of Section. G.L. 1896, ch. 165, § 5; P.L. 1901, ch. 926, § 2; C.P.A. 1905, § 1226; G.L. 1909, ch. 193, § 5; G.L. 1923, ch. 159, § 5; P.L. 1927, ch. 1029, § 2; G.L. 1938, ch. 275, § 5; P.L. 1945, ch. 1638, § 1; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-37-7 ; P.L. 1986, ch. 301, § 5.

NOTES TO DECISIONS

Certiorari.

Certiorari was not a proper remedy to review decision of state board of health revoking petitioner’s certificate where there was an adequate remedy by way of appeal. Knoop v. State Bd. of Health, 40 R.I. 561 , 102 A. 609, 1918 R.I. LEXIS 3 (1918).

Collateral References.

Judicial review of decision upon application for license to practice by physician or surgeon from another state or country. 136 A.L.R. 742.

5-37-8. Grounds for discipline without hearing.

The director may temporarily suspend the license of a physician or limited registrant without a hearing if the director finds that evidence in his or her possession indicates that a physician’s or limited registrant’s continuation in practice would constitute an immediate danger to the public. In the event that the director temporarily suspends the license of a physician or limited registrant without a hearing, a hearing by the board must be held within ten (10) days after the suspension has occurred.

History of Section. P.L. 1986, ch. 301, § 6.

Repealed Sections.

Former §§ 5-37-8 and 5-37-9 (G.L. 1896, ch. 165, §§ 1, 2; G.L. 1909, ch. 193, §§ 1, 2; G.L. 1923, ch. 159, §§ 1, 2; G.L. 1938, ch. 275, §§ 1, 2; G.L. 1956, § 5-37-8 ; G.L. 1956, § 5-37-9 ) were repealed by P.L. 1965, ch. 95, § 1.

5-37-9. Reports relating to professional conduct and capacity — Regulations — Confidentiality — Immunity.

In addition to the requirements of § 42-14-2.1 :

  1. The board, with the approval of the director, may adopt regulations requiring any person, including, but not limited to, corporations, healthcare facilities, health-maintenance organizations, organizations, federal, state, or local governmental agencies, and peer-review boards to report to the board any conviction, determination, or finding that a licensed physician has committed unprofessional conduct as defined by § 5-37-5.1 , or to report information that indicates that a licensed physician may not be able to practice medicine with reasonable skill and safety to patients as the result of any mental or physical condition. The regulations shall include the reporting requirements of subsections (2)(i), (2)(ii), and (2)(iii) of this section.
  2. The following reports, in writing, shall be filed with the board:
    1. Every insurer providing professional liability insurance to a physician licensed under the provisions of this chapter shall send a complete report to the board presenting notice of any civil action filed, settlement of any claim or cause of action, or final judgment rendered in any cause of action for damages for death or personal injury caused by the physician’s negligence, error, or omission in practice, or his or her rendering of unauthorized professional services. This report shall be sent within thirty (30) days after notice of any civil action filed, settlement, judgment, or arbitration award. All of these reports shall present an in-depth factual summary of the claim in question. Commencing July 1, 1997, all reports of final judgments or settlements shall specify the class or category of risk for which the physician is insured identified by Insurance Services Organization (“ISO”) Code and, in the case of joint and several liability, shall specify the portion of the total award paid by or on behalf of the physician.
    2. All hospital and licensed healthcare facilities including, but not limited to, nursing homes and health-maintenance organizations and the director of health must report to the board within thirty (30) days of this action, any action, disciplinary or otherwise, taken for any reason, that limits, suspends, or revokes a physician’s privilege to practice or requires supervision of a physician, either through formal action by the institution or facility or through any voluntary agreement with the physician.
    3. Within ten (10) days after a judgment by a court of this state that a physician licensed under the provisions of this chapter has been convicted of a crime or is civilly liable for any death or personal injury caused by his or her negligence, error, or omission in his or her practice, or his or her rendering unauthorized professional services, the clerk of the court that rendered this judgment shall report the judgment to the board.
  3. The board shall publicly report any change of privilege, of which it is aware, to the board of trustees or other appropriate body of all licensed hospitals, licensed healthcare facilities, health-maintenance organizations, and other parties, as the board deems appropriate, within thirty (30) days. Except as required by § 5-37-9.2 notwithstanding the provisions of this subsection, the board may, in instances where the change of privilege is not related to quality of patient care, elect not to disseminate the report of change in privilege. This election may be made in executive session and no decision not to disseminate shall be made except by majority vote of the members present at the meeting and only upon a finding of fact by the board after inquiry that the change of privilege was not related to quality of patient care.
  4. Except as provided in § 5-37-9.2 , the contents of any report file shall be confidential and exempt from public disclosure, except that it may be reviewed:
    1. By the licensee involved or his or her counsel or authorized representative who may submit any additional exculpatory or explanatory statements or other information, which statements or other information is included in the file; or
    2. By the chief administrative officer, a representative of the board, or investigator of the board, who has been assigned to review the activities of a licensed physician.
  5. Upon determination that a report is without merit, the board’s records may be purged of information relating to the report.
  6. If any person refuses to furnish a required report, the board may petition the superior court of any county in which the person resides or is found, and the court shall issue to this person an order to furnish the required report. Any failure to comply with this order constitutes civil contempt.
  7. Every individual, medical association, medical society, hospital, healthcare facility, health-maintenance organization, peer-review board, medical-service bureau, health-insurance carrier or agent, professional-standards review organization, and agency of the federal, state, or local government is immune from civil liability, whether direct or derivative, for providing information in good faith to the board pursuant to this section or the regulations outlined in subsection (1) of this section or requirements of subsection (2) of this section.
  8. Nondisclosure agreements are prohibited insofar as they forbid parties from making reports regarding competency and/or unprofessional conduct to the board of medical licensure and discipline.
  9. The board, with the approval of the director, shall promulgate rules and regulations prescribing standards for hospital or health-maintenance organization supervision of physicians by peer-review committees. These regulations shall require that each hospital or health-maintenance organization report annually to the board the activities, findings, studies, and determinations of its peer-review committees.

History of Section. P.L. 1986, ch. 301, § 6; P.L. 1987, ch. 522, § 9; P.L. 1997, ch. 30, art. 28, § 3; P.L. 1997, ch. 348, § 2; P.L. 1998, ch. 449, § 1.

5-37-9.1. Requirements relating to professional conduct.

The board shall receive and maintain a confidential file, which will be available to the board to precipitate or aid in their investigations. The information shall also be available to licensed healthcare facilities including health-maintenance organizations in connection with the granting of staff privileges and to the individual physicians themselves and shall be available for inclusion in physician profiles pursuant to § 5-37-9.2 . The file shall contain the following physician information:

  1. Cases of malpractice suits against a physician as reported to the board by insurers and self-insurers;
  2. Cases of malpractice suits that result in allegations being dropped, a dismissal, a settlement, or court judgment or arbitration award adverse to the physician;
  3. Reports by any hospital or state or local professional medical association/society of disciplinary action taken against any physician. This should also include any resignation of a physician if related to unprofessional conduct as defined in law or any withdrawal of an application for hospital privileges relating to unprofessional conduct;
  4. Reports by state and federal courts of physicians found guilty of a felony;
  5. Reports by the professional review organization and third-party health insurers of sanctions imposed on a physician;
  6. Annual reports by hospitals and health-maintenance organizations of current appointments to their medical staffs; and
  7. Information supplied to the board by the Federation of State Medical Boards and the American Medical Association. The file may contain any other data that the board by reasonable rule or regulation deems appropriate.

History of Section. P.L. 1986, ch. 350, § 11; P.L. 1997, ch. 348, § 2.

5-37-9.2. Physician profiles — Public access to data.

    1. The board shall compile the information listed in this section to create individual profiles on licensed physicians, in a format created by the board, consistent with the provisions of this section and any regulations promulgated under this section, that are available for dissemination to the public and that include a conspicuous statement that: “This profile contains certain information that may be used as a starting point in evaluating the physician. This profile should not be your sole basis for selecting a physician.”
    2. The following information shall be compiled by the board in accordance with state laws and board regulations and procedures and shall be included in physician profiles, subject to the limitations and requirements set forth below:
      1. Names of medical schools and dates of graduation;
      2. Graduate medical education;
      3. A description of any final board disciplinary actions within the most recent ten (10) years;
      4. A description of any final disciplinary actions by licensing boards in other states within the most recent ten (10) years;
      5. A description of any criminal convictions for felonies within the most recent ten (10) years. For the purposes of this subsection, a person is deemed to be convicted of a crime if he or she pleaded guilty or if he or she was found or adjudged guilty by a court of competent jurisdiction, or was convicted of a felony by the entry of a plea of nolo contendere;
      6. A description of revocation or restriction of hospital privileges for reasons related to competence taken by the hospital’s governing body or any other official of the hospital after procedural due process has been afforded, or the resignation from or nonrenewal of medical staff membership or the restriction of privileges at a hospital. Only cases that have occurred within the most recent ten (10) years, shall be disclosed by the board to the public; and
      7. All medical malpractice court judgments and all medical malpractice arbitration awards in which a payment is awarded to a complaining party since September 1, 1988, or during the most recent ten (10) years, and all settlements of medical malpractice claims in which a payment is made to a complaining party since September 1, 1988, or within the most recent ten (10) years. Dispositions of paid claims shall be reported in a minimum of three (3) graduated categories indicating the level of significance of the award or settlement. Information concerning paid medical malpractice claims shall be put in context by comparing an individual physician’s medical malpractice judgments, awards, and settlements to the experience of other physicians licensed in Rhode Island who perform procedures and treat patients with a similar degree of risk. All judgment, award, and settlement information reported shall be limited to amounts actually paid by or on behalf of the physician.
      8. The identification of any language translating services that may be available at the physician’s primary practice location; provided, that a statement is included in the profile indicating that these services may be temporary and that the physician’s office should first be contacted to confirm the present availability of language translation.
    3. Comparisons of malpractice payment data shall be accompanied by:

      (i) An explanation of the fact that physicians treating certain patients and performing certain procedures are more likely to be the subject of litigation than others and that the comparison given is for physicians who perform procedures and treat patients with a similar degree of risk;

      (ii) A statement that the report reflects data since September 1, 1988, or for the last ten (10) years and the recipient should take into account the number of years the physician has been in practice when considering the data;

      (iii) An explanation that an incident, giving rise to a malpractice claim, may have occurred years before any payment was made due to the time lawsuits take to move through the legal system;

      (iv) An explanation of the effect of treating high-risk patients on a physician’s malpractice history; and

      (v) An explanation that malpractice cases may be settled for reasons other than liability and that settlements are sometimes made by the insurer without the physician’s consent.

    4. Information concerning all settlements shall be accompanied by the following statement: “Settlement of a claim may occur for a variety of reasons that do not necessarily reflect negatively on the professional competence or conduct of the physician. A payment in settlement of a medical malpractice action or claim should not be construed as creating a presumption that medical malpractice has occurred.” Nothing in this section shall be construed to limit or prevent the board from providing further explanatory information regarding the significance of categories in which settlements are reported.
    5. Pending malpractice claims and actual amounts paid by or on behalf of a physician in connection with a malpractice judgment, award, or settlement shall not be disclosed by the board to the public. Nothing in this section shall be construed to prevent the board from investigating and disciplining a licensee on the basis of medical malpractice claims that are pending.
    6. The following information shall be reported to the board by the physician and shall be included in physician profiles, subject to the limitations and requirements specified in this subdivision:

      (i) Specialty board certification;

      (ii) Number of years in practice;

      (iii) Names of the hospitals where the physician has privileges;

      (iv) Appointments to medical school faculties and indication as to whether a physician has a responsibility for graduate medical education within the most recent ten (10) years;

      (v) Information regarding publications in peer-reviewed medical literature within the most recent ten (10) years;

      (vi) Information regarding professional or community service activities and awards;

      (vii) The location of the physician’s primary practice setting; and

  1. A physician may elect to have his or her profile omit certain information provided pursuant to subsections (a)(6)(iv) — (a)(6)(vi) of this section, concerning academic appointments and teaching responsibilities, publication in peer-reviewed journals, and professional and community service awards. In collecting information for these profiles and disseminating it, the board shall inform physicians that they may choose not to provide any information required pursuant to subsections (a)(6)(iv) — (a)(6)(vi) of this section.
    1. The board shall provide individual physicians with a copy of their profiles prior to initial release to the public and each time a physician’s profile is modified or amended based on information not personally supplied to the board by the physician or not generated by the board itself.
    2. Prior to initial release to the public and upon each modification or amendment requiring physician review as provided in this subsection, a physician shall be provided not less than twenty-one (21) calendar days to correct factual inaccuracies that appear in his or her profile.
    3. If a dispute arises between a physician and the board regarding the accuracy of factual information in the physician’s profile, the physician shall notify the board, in writing, of this dispute.
    4. If a physician does not notify the board of a dispute during the twenty-one-day (21) review period, the profile shall be released to the public and the physician will be deemed to have approved the profile and all information contained in the profile.
    5. If a physician notifies the board of a dispute in accordance with this subsection, the physician’s profile shall be released to the public without the disputed information, but with a statement to the effect that information in the identified category is currently the subject of a dispute and is not available at this time.
    6. Within ten (10) calendar days after the board’s receipt of notice of a dispute, the physician and the board or its authorized representative shall in good faith enter into discussions, which may continue for up to thirty (30) days, to resolve the dispute. If the dispute is not resolved within thirty (30) days, the disputed information shall be included in the profile with a statement that this information is disputed by the physician.
  2. Each profile shall contain a statement specifying the date of its last modification, amendment, or update. If a physician has reviewed and approved or been deemed to have approved his or her profile in accordance with this subsection, the physician is responsible for the accuracy of the information contained in it. If a profile is released to the public without physician review as required by this subsection, then notwithstanding any immunity from liability granted by § 5-37-1.5 or § 23-1-32 , the board or any state agency supplying physician information to the board is solely responsible for the accuracy of the information it generates or supplies and that is contained in physician profiles released to the public.
  3. In order to protect against the unauthorized use or disclosure of provider profiles by department of health employees with access to the data, the department of health shall apply its existing safeguards and procedures for protecting confidential information to physician profile information.
  4. For each profile provided to the public by the board, the board may charge no more than fifty cents ($.50) per page or three dollars ($3.00) per profile, whichever is greater.

History of Section. P.L. 1997, ch. 348, § 3; P.L. 2019, ch. 308, art. 1, § 17.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-37-10. Biannual registration, physicians — Annual registration, hospitals.

  1. Effective beginning in calendar year 2004, on or before the first day of March in each year, the board shall mail an application for biannual registration to every person to whom a license to practice medicine in this state has been granted by the licensing authority in the state. Every licensed person who intends to engage in the practice of his or her profession during the ensuing two-year (2) period shall register his or her license by submitting to the board, on or before June 1, the application, executed together with the registration form, and fee as established by regulation by the director of the department of health. Upon receipt of the application and fee, the board shall issue a registration certificate effective July 1 and expiring two (2) years following on June 30. The registration certificate renders the holder a registered practitioner of medicine for that registration period. Effective beginning in calendar year 2004, any references in this chapter to annual registration or annual limited registration shall be interpreted to mean biannual registration and biannual limited registration, respectively.
  2. The registration certificate of all physicians whose renewals accompanied by the prescribed fee are not completed and filed on or before the first day of July shall automatically lapse. The board may, in its discretion and upon the payment by the physician of the current registration fee plus an additional fee as set forth in § 23-1-54 , reinstate any certificate lapsed under the provisions of this section.
  3. Hospitals shall, on or before the first day of December of each year, submit an application and annual fee to the board as a condition of rendering hospital services in the state. The form of application and fee shall be as the director, by regulation, establishes; provided, that the ratio of payment between hospital per-bed licensing fees and the combined licensing and board of medical licensure and discipline fees paid by physicians remain the same as the ratio that existed as of January 1, 1987. All fees collected pursuant to this section shall be deposited as general revenues.

History of Section. G.L. 1938, ch. 275, § 30; P.L. 1954, ch. 3409, § 1; G.L. 1956, § 5-37-10 ; P.L. 1960, ch. 76, § 19; P.L. 1961, ch. 60, § 1; P.L. 1977, ch. 138, § 1; P.L. 1978, ch. 364, § 1; P.L. 1986, ch. 301, § 5; P.L. 1993, ch. 300, § 1; P.L. 1995, ch. 104, § 1; P.L. 1995, ch. 370, art. 40, § 19; P.L. 1998, ch. 65, § 1; P.L. 2003, ch. 249, § 1; P.L. 2003, ch. 339, § 1; P.L. 2007, ch. 73, art. 39, § 10; P.L. 2012, ch. 241, art. 9, § 12.

Cross References.

Veteran’s certificate, renewal on discharge, § 30-20-1 .

5-37-11. Inactive list.

A physician licensed to practice medicine who does not intend to engage in the practice of his or her profession during any year, upon written request to the board, may have his or her name transferred to an inactive list, and is not required to register annually or pay any registration fee as long as he or she remains inactive. Any physician whose name has been included in the inactive list as provided for in this section shall be restored to active status by the administrator of professional regulation upon the filing of a written request accompanied by the registration form and fee as established by regulation by the director of the department of health.

History of Section. G.L. 1938, ch. 275, § 30; P.L. 1954, ch. 3409, § 1; G.L. 1956, § 5-37-11 ; P.L. 1991, ch. 354, § 4.

5-37-12. Unauthorized practice of medicine.

Any person who is not lawfully authorized to practice medicine within this state, and registered according to law, who practices medicine or surgery or attempts to practice medicine or surgery, or any of the branches of medicine or surgery, after having received or with the intent of receiving, either directly or indirectly, any bonus, gift, or compensation, or who opens an office with intent to practice medicine, or holds himself or herself out to the public as a practitioner of medicine, whether by appending to his or her name the title of doctor or any abbreviation, or M.D., or any other title or designation implying a practitioner of medicine, or in any other way, shall be imprisoned not more than three (3) years, or fined not more than one thousand dollars ($1,000), or shall suffer both fine and imprisonment; and in no case when any provision of this chapter has been violated shall the person violating these provisions be entitled to receive compensation for services rendered.

History of Section. G.L. 1896, ch. 165, § 8; P.L. 1901, ch. 926, § 4; G.L. 1909, ch. 193, § 8; G.L. 1923, ch. 159, § 8; P.L. 1927, ch. 1029, § 3; G.L. 1938, ch. 275, § 8; G.L. 1956, § 5-37-12 ; P.L. 1964, ch. 193, § 1.

NOTES TO DECISIONS

Benefits to Patients.

Benefits received by patients of defendant charged with unlawful practice of medicine were immaterial, since the result of the treatment was not an issue. Swarts v. Siveny, 35 R.I. 1 , 85 A. 33, 1912 R.I. LEXIS 86 (1912).

Defenses.

Defendant charged with unlawful practice of medicine is not protected by his lack of knowledge of successful treatment of disease or by his disclaimer or assumption of any kind or number of titles. State v. Heffernan, 28 R.I. 20 , 65 A. 284, 1906 R.I. LEXIS 5 (1906).

Indictments and Complaints.

Indictment for illegally practicing medicine was not demurrable because it did not allege complaint as prescribed by former § 5-37-13 , since that section did not relate to indictments. State v. Flanagan, 25 R.I. 369 , 55 A. 876, 1903 R.I. LEXIS 78 (1903).

Indictment charging that defendant “unlawfully did practice medicine for reward and compensation without first having obtained certificate from the state board of health, and without possessing any of the qualifications set forth in” § 5-37-2 was sufficient as having all essential charges of both §§ 5-37-8 and 5-37-12 , since neither the exact words of the statute nor reference to the particular section was necessary. State v. Flanagan, 25 R.I. 369 , 55 A. 876, 1903 R.I. LEXIS 78 (1903).

Complaint which charged “that the defendant did open an office with intent to practice medicine and did hold himself out to the public as a practitioner of medicine by appending to his name the title of chiropractor and by representing that he was versed in and willing to practice for compensation the art of preventing, curing and alleviating disease and pain” was sufficient to inform the defendant that he was charged with the unlawful practice of medicine. Swarts v. Siveny, 35 R.I. 1 , 85 A. 33, 1912 R.I. LEXIS 86 (1912) (Decision prior to enactment of Chapter 30 of this title.)

Jurisdiction of Courts.

Motion for arrest of judgment was granted where defendant was convicted in superior court of practicing medicine without a license, since district court had exclusive jurisdiction, as fine was less than $500. State v. Heffernan, 28 R.I. 477 , 68 A. 364, 1907 R.I. LEXIS 83 (1907).

Motive of Complainant.

Mental intent of complainant who charged defendant with unlawful practice of medicine was immaterial. Swarts v. Siveny, 35 R.I. 1 , 85 A. 33, 1912 R.I. LEXIS 86 (1912).

Nature of Offense.

Defendant, a chiropractic, charged with unlawful practice of medicine was not entitled to an instruction that “if the jury find that a chiropractic is not a practitioner of medicine and surgery, then your verdict should be for the defendant,” since the issue was whether the defendant under the evidence was guilty of practicing medicine without a license. Swarts v. Siveny, 35 R.I. 1 , 85 A. 33, 1912 R.I. LEXIS 86 (1912) (Decision prior to enactment of chapter 30 of this title.)

Opinion Evidence.

In a prosecution for the illegal practice of medicine, the opinion of a witness as to what constituted the practice of medicine was immaterial. State v. Heffernan, 28 R.I. 20 , 65 A. 284, 1906 R.I. LEXIS 5 (1906).

Practice of Medicine.

The words “practice of medicine” relate to the practice of medicine as ordinarily and popularly understood, so that a Christian Science practitioner does not violate this section, since he does not practice medicine. State v. Mylod, 20 R.I. 632 , 40 A. 753, 1898 R.I. LEXIS 128 (1898); State v. Anthony, 20 R.I. 644 , 40 A. 1135, 1898 R.I. LEXIS 148 (1898); State v. Taft, 20 R.I. 645 , 40 A. 758, 1898 R.I. LEXIS 129 (1898).

Defendant who never studied medicine, but claimed to be a doctor of dermatology and physical education under certificate issued by secretary of state for incorporation of business of dermatology and physical education, was guilty of unlawful practice of medicine. State v. Heffernan, 28 R.I. 20 , 65 A. 284, 1906 R.I. LEXIS 5 (1906).

Defendant who attempted to cure and alleviate disease and pain by chiropractic for compensation or charge was guilty of practicing medicine without a license. Swarts v. Siveny, 35 R.I. 1 , 85 A. 33, 1912 R.I. LEXIS 86 (1912) (Decision prior to enactment of Chapter 30 of this title.)

The practice of osteopathy, as authorized by former chapter 36 of this title, was practice of medicine within the meaning of this section. In re Opinion of Justices, 42 R.I. 249 , 107 A. 102, 1919 R.I. LEXIS 36 (1919).

Reward or Compensation.

Exception to refusal of court to instruct jury “that if defendant received no reward or compensation for his services he could not be convicted for practicing without a certificate” should have been sustained though made after the jury retired. State v. Pirlot, 20 R.I. 273 , 38 A. 656, 1897 R.I. LEXIS 107 (1897).

Collateral References.

Constitutionality and construction of statutes or regulations prohibiting one who has no license to practice medicine from owning, maintaining, or operating an office therefor. 20 A.L.R.2d 808.

Corporation or individual not himself licensed, right of, to practice medicine or surgery through licensed employees. 103 A.L.R. 1240.

Entrapment to commit offense of practicing medicine without license. 86 A.L.R. 272.

Prescriptions, one who fills, under reciprocal arrangement with physician, as subject to charge of practice of medicine without a license. 121 A.L.R. 1455.

5-37-13. [Repealed.]

History of Section. G.L. 1896, ch. 165, § 7; P.L. 1896, ch. 340, § 1; G.L. 1909, ch. 193, § 7; G.L. 1923, ch. 159, § 7; G.L. 1938, ch. 275, § 7; impl. am. P.L. 1939, ch. 660, § 180; impl. am. P.L. 1949, ch. 2228, § 1; G.L. 1956, § 5-37-13 ; Repealed by P.L. 1976, ch. 244, § 2.

5-37-14. Exceptions to licensure requirement — Immunity from liability.

No person licensed under this chapter, or members of the same professions licensed to practice in other states of the United States, who voluntarily and gratuitously and other than in the ordinary course of his or her employment or practice renders emergency medical assistance to a person in need of it, shall be liable for civil damages for any personal injuries that result from acts or omissions by these persons in rendering emergency care that may constitute ordinary negligence. This immunity does not apply to acts or omissions constituting gross, willful, or wanton negligence, or when rendered at any hospital, doctors’ offices, or clinic where these services are normally rendered.

History of Section. G.L. 1896, ch. 165, § 6; P.L. 1901, ch. 926, § 3; G.L. 1909, ch. 193, § 6; G.L. 1923, ch. 159, § 6; G.L. 1938, ch. 275, § 6; G.L. 1956, § 5-37-14 ; P.L. 1963, ch. 138, § 1; P.L. 1990, ch. 492, § 4; P.L. 2014, ch. 190, § 1; P.L. 2014, ch. 213, § 1.

Cross References.

Application of chapter to chiropractors, § 5-30-17 .

Chiropractors, rights and duties, § 5-30-11 .

National guard medical officers, § 30-3-14 .

NOTES TO DECISIONS

Criminal Offenses.

Exceptions relating to United States surgeons and to legally qualified physicians of another state did not limit the offense of practicing medicine without a certificate and were not required to be negated in indictment, but were matters of defense. State v. Flanagan, 25 R.I. 369 , 55 A. 876, 1903 R.I. LEXIS 78 (1903).

Collateral References.

Competency of physician or surgeon of school of practice other than that to which defendant belongs to testify in malpractice case. 85 A.L.R. 1022.

Constitutionality of statute prescribing conditions of practicing medicine or surgery as affected by question of discrimination against particular school or method. 16 A.L.R. 709; 37 A.L.R. 680; 42 A.L.R. 1342; 54 A.L.R. 600.

5-37-15. Practice of religious beliefs.

This chapter and chapter 30 of this title shall not be construed to affect the practice of the religious tenets of any church; provided, that any sanitary laws of the state, or rules and regulations of any officer, board, division, or department, as now are or hereafter may be in force, are complied with.

History of Section. P.L. 1927, ch. 1029, § 5; G.L. 1938, ch. 275, § 28; 1956, § 5-37-15 ; P.L. 1986, ch. 301, § 5.

Collateral References.

Homicide by improper treatment by Christian Scientist. 9 A.L.R. 223.

Vital statistics, Christian Science practitioner as physician within meaning of statute relating to. 8 A.L.R. 1072.

5-37-16. Limited registrations.

  1. An applicant for limited registration under this chapter who furnishes the board with satisfactory proof that the applicant is eighteen (18) years of age or older and of good moral character; that the applicant has graduated from a legally chartered medical school or school of osteopathic medicine having power to grant degrees in allopathic or osteopathic medicine; and that the applicant has been appointed an intern, resident, fellow, or medical officer in a hospital or other institution maintained by the state, or by a city or town, or in a hospital or clinic that is incorporated under the laws of this state, or in a clinic that is affiliated with a hospital licensed by the department of health, or in an outpatient clinic operated by the state, may, upon the payment as set forth in § 23-1-54 , be registered by the board as a hospital medical officer for any time that the board may prescribe. This limited registration shall entitle the applicant to practice medicine in the hospital or other institution designated on his or her certificate of limited registration, or outside this hospital or other institution for the treatment, under the supervision of one of its medical officers who is a licensed physician, of persons accepted by it as patients, or in any hospital, institution, clinic, or program affiliated for training purposes with the hospital, institution, or clinic designated on this certificate, which affiliation is approved by the board, and in any case under regulations established by the hospital, institution, or clinic; provided, that each hospital, institution, or clinic annually submits to the board a list of affiliated hospitals, institutions, clinics, or programs providing training programs that comply with the terms of this section. Limited registration under this section may be revoked at any time by the board.
  2. The director may promulgate any rules and regulations that he or she deems necessary to carry out the provisions of this chapter.

History of Section. P.L. 1958, ch. 158, § 1; P.L. 1971, ch. 69, § 1; P.L. 1982, ch. 84, § 1; P.L. 1986, ch. 159, § 1; P.L. 1986, ch. 301, § 5; P.L. 2007, ch. 73, art. 39, § 10; P.L. 2012, ch. 241, art. 9, § 12.

Collateral References.

Contractual restrictions on right of practice, validity of. 62 A.L.R.3d 918; 62 A.L.R.3d 970; 62 A.L.R.3d 1014.

Restrictive medical or surgical license, construction of, as regards kind or character of treatment. 86 A.L.R. 623.

School authorities’ power to employ physician. 12 A.L.R. 922.

5-37-16.1. Limited registration — Academic faculty.

Notwithstanding any other provisions of this chapter, a physician of noteworthy and recognized professional attainment who is a clearly outstanding physician and who has been offered by the dean of a medical school in this state a full-time academic appointment, shall be eligible for a limited registration while serving on the academic staff of the medical school. Upon recommendation of the dean of an accredited school of medicine in this state, the board in its discretion, after being satisfied that the applicant is a graduate of a foreign medical school and a person of professional rank whose knowledge and special training will benefit the medical school in this state, may issue to this physician a limited registration to engage in the practice of medicine to the extent that this practice is incidental to a necessary part of his or her academic appointment and then only in the hospital or hospitals and outpatient clinics connected with the medical school. Except to the extent authorized by this section, the registrant shall not engage in the practice of medicine or receive compensation for his or her limited-registration work, unless he or she is issued a license to practice medicine in accordance with the provisions of § 5-37-2 . The registration shall be valid for a period of not more than one year expiring on the 30th day of June following its initial effective date but may be renewed annually; provided, that the registration automatically expires when the holder’s relationship with the medical school is terminated. The application fee for the initial registration authorized under this section and the initial application fee for annual renewal shall be as set forth in § 23-1-54 . Thereafter the fees shall be as promulgated by regulation of the director.

History of Section. P.L. 1983, ch. 139, § 1; P.L. 1986, ch. 160, § 1; P.L. 1986, ch. 301, § 5; P.L. 1986, ch. 386, § 1; P.L. 2007, ch. 73, art. 39, § 10; P.L. 2012, ch. 241, art. 9, § 12.

5-37-16.2. Exceptions to licensure requirement.

  1. A physician who is licensed to practice medicine in another state or states, but not in this state, and who is in good standing in such state or states, may exercise the privilege to practice medicine for a patient located in this state under the following circumstances only:
    1. The physician is employed by a branch of the United States military, Department of Defense, Department of Veterans’ Affairs Division of Veterans’ Health Administration, or similar federal entity.
    2. The physician is present in the state on a singular occasion as a member of an air ambulance treatment team or organ harvesting team.
    3. The physician, whether or not physically present in this state, is being consulted on a singular occasion by a physician licensed in this state, or is providing teaching assistance in a medical capacity, for a period not to exceed seven (7) days. Under no circumstance may a physician who is not present in this state provide consultation to a patient in this state who does not have a physician-patient relationship with that physician unless that patient is in the physical presence of a physician licensed in this state.
    4. The physician is present in the state for a period not to exceed seven (7) days as a volunteer physician serving in a noncompensated role for a charitable function.
    5. The physician is present in this state while providing medical services to a sports team incorporated in the United States or another country provided that:
      1. The physician has a written agreement with that sports team to provide care to team members, coaching staff, and families traveling with the team for a specific sporting event or preseason training camp occurring in this state.
      2. The physician may not provide care or consultation to any person residing in this state other than those enumerated in subsection (a) or under the conditions permitted in subsection (b).
      3. The physician shall be permitted to provide care and consultation to those in subsection (a) for no longer than seven (7) consecutive days per sporting event.
      4. The physician is not authorized to practice at a healthcare facility or clinic, acute-care facility, or urgent-care center; but nothing herein shall prevent the physician from accompanying a person enumerated in subsection (a) to such a facility or from providing consultation to a physician licensed in Rhode Island in regard to such person.
      5. If the physician is licensed in another country, he or she must obtain prior written permission from the director, or his or her designee, to be permitted to provide care and consultation to those in subsection (a).
  2. If a physician licensed in this state obtains prior written permission from the director, or his or her designee, the physician who is not licensed in this state but is practicing under subsections (a)(3) — (a)(5), may be permitted to extend his or her authorization to practice medicine for more than seven (7) consecutive days if the requesting physician shows good cause for the extension, but for no more than a total of thirty (30) days in any one year.
  3. A physician practicing under subsection (a)(3) or (a)(4) shall inform the board, in writing, of his or her intent to practice prior to, or as soon as practicable, but no later than seven (7) days after, the consultation.
  4. The director shall send by certified mail to a physician not licensed in this state a written order that revokes the privilege to practice medicine under this section if the director finds good cause to do so. If no current address can be determined, such order may be sent by regular mail to the physician’s last known address.
  5. Any person who is found to have violated any provisions of this section shall be subject to § 5-37-12 regarding the unauthorized practice of medicine.

History of Section. P.L. 2014, ch. 190, § 1; P.L. 2014, ch. 213, § 1.

5-37-17. Power to examine individuals.

Persons between the ages of eighteen (18) and twenty-one (21) years may give legal consent for examination and treatment for illnesses resulting from administration of drugs, and any physical examination and treatment by a registered physician, hospital, or mental-health facility as designated and defined by regulations of the department of health within the provisions of this chapter upon the person of an individual aged eighteen (18) and older who has given consent shall not constitute an assault or an assault and battery upon that person.

History of Section. P.L. 1971, ch. 90; P.L. 1998, ch. 391, § 1.

5-37-18. Prescription slips.

Every prescription slip issued by a physician shall contain the clearly-printed name and address of the issuing physician. In addition, every prescription written in this state shall have one line for the practitioner’s signature.

History of Section. P.L. 1971, ch. 122, § 1; P.L. 1976, ch. 237, § 1; P.L. 1978, ch. 106, § 1; P.L. 1999, ch. 110, § 1.

Cross References.

Enforcement of section by director of health, § 21-31-16.1 .

Substitution of drugs by pharmacists, § 5-19.1-19 .

Comparative Legislation.

Prescription slip requirements:

Conn. Gen. Stat. § 20-184b.

5-37-18.1. Physicians required to authorize product selection.

Every licensed Rhode Island physician, when prescribing any drug by brand name, shall in each prescription, oral, written, or electronic, authorize a less expensive generic-equivalent drug product by signing the prescription. If, in the professional judgment of the prescribing physician, the brand name is medically necessary, the physician shall indicate “brand name necessary” on the prescription form. Pursuant to § 42-127.1-7 and chapter 19.1 of this title, an electronic signature shall satisfy this requirement.

History of Section. P.L. 1976, ch. 237, § 2; P.L. 1981, ch. 88, § 2; P.L. 1995, ch. 88, § 1; P.L. 2003, ch. 47, § 1; P.L. 2003, ch. 405, § 1.

Cross References.

Enforcement of section by director of health, § 21-31-16.1 .

Substitution of drugs by pharmacists, § 5-19.1-19 .

5-37-18.2. Penalty for violating § 5-37-18 or § 5-37-18.1.

Any person, firm, or corporation, who or that violates any of the provisions of § 5-37-18 or § 5-37-18 .1 shall be fined not more than one hundred dollars ($100) for each violation.

History of Section. P.L. 1976, ch. 237, § 2; P.L. 1981, ch. 88, § 2.

Cross References.

Enforcement of section by director of health, § 21-31-16.1 .

5-37-19. Blank prescriptions.

Any physician who signs a prescription in blank and delivers it to a patient or any other person except a duly licensed pharmacist shall be fined no more than five hundred dollars ($500).

History of Section. P.L. 1971, ch. 185, § 1; P.L. 1999, ch. 110, § 1.

5-37-20. Acupuncture.

Persons licensed and registered as physicians under this chapter shall be allowed to practice acupuncture only in accordance with the rules and regulations promulgated by the director.

History of Section. P.L. 1974, ch. 199, § 1; P.L. 1976, ch. 260, § 1; P.L. 1986, ch. 301, § 5.

5-37-21. Fee splitting.

No physician shall directly or indirectly receive payment, reimbursement, compensation, or fee for a referral to any clinical laboratory. A violation of the provisions of this section shall constitute a misdemeanor and upon conviction thereof may be punished by imprisonment for not longer than one year or a fine of not more than five hundred dollars ($500), or both.

History of Section. P.L. 1975, ch. 114, § 3.

5-37-22. Disclosures.

    1. Any physician who is not a participant in a medical insurance plan shall post a notice, in a conspicuous place in his or her medical offices where it can be read by his or her patients, that reads, in substance, as follows:
    2. Any physician who fails to post this notice shall not be entitled to charge his or her patients any amount for medical fees in excess of that allowed had the physician participated in a medical insurance plan.

    “To my patients:

    I do not participate in a medical insurance plan. You should know that you shall be responsible for the payment of my medical fees.”

  1. Every physician shall disclose to patients eligible for Medicare, in advance of treatment, whether the physician accepts assignment under Medicare reimbursement as payment in full for medical services and/or treatment in the physician’s office. This disclosure shall be given by posting in each physician’s office, in a conspicuous place, a summary of the physician’s Medicare reimbursement policy. Any physician who fails to make the disclosure as required in this section shall not be allowed to charge the patient in excess of the Medicare assignment amount for the medical procedure performed.
  2. When a patient requests, in writing, that his or her medical records be transferred to another physician or medical practice group, the original physician or medical-practice group shall promptly honor the request. The physician or medical-practice group shall be reimbursed for reasonable expenses (as defined by the director pursuant to § 23-1-48 ) incurred in connection with copying the medical records.
  3. Every physician or medical-practice group shall, upon written request of any patient (or his or her authorized representative as defined in § 5-37.3-3(1) ) who has received healthcare services from the physician or medical-practice group, at the option of the physician or medical-practice group either permit the patient (or his or her authorized representative) to examine and copy the patient’s confidential healthcare information, or provide the patient (or his or her authorized representative) a summary of that information. If the physician or medical-practice group decides to provide a summary and the patient is not satisfied with a summary, then the patient may request, and the physician or medical-practice group shall provide, a copy of the entire record. At the time of the examination, copying, or provision of summary information, the physician or medical-practice group shall be reimbursed for reasonable expenses (as defined by the director pursuant to § 23-1-48 ) in connection with copying this information. If, in the professional judgment of the treating physician, it would be injurious to the mental or physical health of the patient to disclose certain confidential healthcare information to the patient, the physician or medical-practice group shall not be required to disclose or provide a summary of that information to the patient, but shall upon written request of the patient (or his or her authorized representative) disclose that information to another physician or medical-practice group designated by the patient.
  4. Every physician who has ownership interest in health facilities or laboratories, including any healthcare facility licensed pursuant to chapter 17 of title 23, any residential-care/assisted-living facility licensed pursuant to chapter 17.4 of title 23, any adult day-care program licensed or certified by the director of the office of healthy aging, or any equipment not on the physician’s premises, shall, in writing, make full patient disclosure of his or her ownership interest in the facility or therapy prior to utilization. The written notice shall state that the patient has free choice either to use the physician’s proprietary facility or therapy or to seek the needed medical services elsewhere.
  5. Every physician who makes a referral of a patient to receive physical therapy services shall provide the notice required by this section if the services are provided by employees or independent contractors of the physician or if the entity is one in which the physician has an ownership interest. Any such interest referenced in this paragraph shall be in accordance with federal and state law, specifically including, but not limited to, chapter 48.1 of this title.
  6. Unless otherwise expressly stated in writing by the medical-practice group, all medical records shall be the property of the medical-practice group with which a physician is associated when that physician created all such medical records. A medical-practice group shall provide patients with access to patients’ medical records in the same manner as is required of individual physicians under this chapter. To the extent a medical-practice group fails to provide access to patients in accordance with the requirements of this chapter, the individual officers of the medical-practice group (or in the absence of officers, the shareholders or owners of the medical-practice group), in their capacities as licensees of the board, shall be subject to the disciplinary powers of the board.

History of Section. P.L. 1980, ch. 160, § 1; P.L. 1984, ch. 220, § 1; P.L. 1985, ch. 73, § 1; P.L. 1989, ch. 219, § 1; P.L. 1990, ch. 316, § 1; P.L. 1991, ch. 353, § 1; P.L. 1996, ch. 93, § 1; P.L. 1997, ch. 116, § 1; P.L. 1997, ch. 130, § 1; P.L. 2004, ch. 610, § 1; P.L. 2008, ch. 225, § 2; P.L. 2008, ch. 409, § 2.

Law Reviews.

Stephen D. Lapatin, Comment: Rhode Island’s Prescription Drug Database: Warrantless Searches by Law Enforcement Pass Constitutional Muster, 23 Roger Williams U. L. Rev. 526 (2018).

5-37-23. Over-billing reward program.

  1. Any person sixty-five (65) years of age or older who is billed for healthcare services that have never been provided to that person may report the billing error to the office of healthy aging. The division shall investigate the report.
  2. The healthcare provider shall repay any verified billing error, and in addition shall pay ten percent (10%) of the billing error to this patient. The ten percent (10%) award shall not preclude recovery by the patient under any other provision of the Rhode Island general laws. Diagnostic-related group billings are exempt from the ten percent (10%) penalty.

History of Section. P.L. 1984, ch. 374, § 1; P.L. 1986, ch. 301, § 5.

5-37-24. [Repealed.]

History of Section. P.L. 1985, ch. 117, § 1; Repealed by P.L. 2003, ch. 249, § 2, effective July 17, 2003; P.L. 2003, ch. 339, § 2, effective July 17, 2003.

Compiler’s Notes.

Former § 5-37-24 concerned notice to patients by anesthesiologists.

5-37-25. Violations — Penalties.

Unless another penalty is provided by the laws of this state, any person who violates any provision of this chapter or any rule or regulation adopted under this chapter, shall, upon conviction, be punished by a fine of not more than one thousand dollars ($1,000), or by imprisonment for not more than one year, or both.

History of Section. P.L. 1986, ch. 301, § 5.

Repealed Sections.

The former section (P.L. 1985, ch. 454, § 1; G.L. 1956, § 5-37-25 ), concerning definitions applicable to this chapter, was repealed by P.L. 1986, ch. 301, § 5, effective January 1, 1987.

5-37-25.1. Injunction of violations.

When it appears to the director or board that any person is violating any of the provisions of this chapter, the director or board may institute an action to enjoin the violation in a court of competent jurisdiction, and the court may restrain and/or enjoin any person, firm, corporation, or association from violating any of the provisions of this chapter without regard to whether proceedings have been or may be instituted before the board or whether criminal proceedings have been or may be instituted.

History of Section. P.L. 1986, ch. 301, § 6.

5-37-26. Medical forms.

Physicians or other persons are prohibited from requiring patients or their representatives to sign blank forms provided by or for any third-party payers or nonprofit medical-service corporations prior to, during, or subsequent to rendering services. Any physician or other person violating any of the provisions of this section shall be fined up to one hundred dollars ($100) for each violation.

History of Section. P.L. 1985, ch. 454, § 1; P.L. 1986, ch. 242, § 1.

5-37-27. Severability.

If any provision of this chapter, or of any rule or regulation made under this chapter, or the application of this chapter to any person or circumstances is held invalid by a court of competent jurisdiction, the remainder of the chapter, rule, or regulation, and the application of this provision to other persons or circumstances, shall not be affected.

History of Section. P.L. 1986, ch. 301, § 6.

5-37-28. Communications of information among healthcare facilities.

Any licensed healthcare facility, acting by and through its chief executive officer or his or her designee, may, upon the request of any other licensed healthcare facility, communicate to the chief executive officer of the requesting facility or his or her designee any or all information available regarding circumstances under which the privileges of any physician were changed as described in § 5-37-9(3) . No healthcare facility, chief executive officer (or his or her designee), nor any member of a peer-review board of a licensed healthcare facility communicating information under this section, or other person participating in or providing information to this peer-review board, shall have any liability arising out of this communication, unless the person making this communication is not acting in good faith.

History of Section. P.L. 1988, ch. 572, § 1.

5-37-29. Hospital responsibility to take action based upon adverse information received.

  1. Whenever a hospital receives information from the board pursuant to § 5-37-9(3) , or from another hospital pursuant to § 5-37-28 , that indicates that the privileges of a physician or other healthcare professional have been suspended, revoked, or limited at another hospital, the receiving hospital shall within thirty (30) days initiate a preliminary inquiry into whether the privileges of the affected physician or other healthcare professional at the receiving hospital should be suspended, revoked, or limited, based upon a review of the exercise of privileges at the receiving hospital, unless the information received indicates that any adverse action with respect to privileges was administrative in character.
  2. Any hospital receiving information described in subsection (a) may take any one or more of the following courses of action, in addition to any action that is required under subsection (a), any one of which discharges its responsibility under this chapter to monitor the qualifications and fitness of physicians and other healthcare professionals on its medical staff:
    1. In any case that has been referred to the board, to await final disposition of the board, and to take any further action that is consistent with sanctions, if any, imposed by the board;
    2. In any case in which the matter has resulted in the suspension, revocation, or restrictions of privileges at any other hospital, to adopt the factual findings of the other hospital, and to impose any suspension, revocation, or restriction in privileges as the receiving hospital deems appropriate, if any, in light of the facts; or
    3. In any case, to conduct a formal inquiry, in accordance with applicable procedural requirements, to determine what action, if any, should be taken with respect to the privileges of the physician or other healthcare professional.
  3. No hospital, or officer, employee, physician, or other healthcare professional associated with the hospital is liable to any physician or other healthcare professional for any action taken in accordance with subsection (a) or (b) when that action was made in good faith.

History of Section. P.L. 1988, ch. 572, § 1.

Collateral References.

Tort liability of medical society or professional association for failure to discipline or investigate negligent or otherwise incompetent medical practitioner. 72 A.L.R.4th 1148.

5-37-30. Closure of medical practice — Preservation of records.

  1. A physician shall, at least ninety (90) days before closing his or her practice, give public notice as to the disposition of patients’ medical records in a newspaper with a statewide circulation, and shall notify the Rhode Island Medical Society and Rhode Island Board of Medical Licensure and Discipline of the location of the records. The public notice shall include the date of the physician’s retirement, and where and how patients may obtain their records both prior to and after closure of the physician’s practice.
  2. The heirs or estate of a deceased physician who had been practicing at the time of his or her death shall, within ninety (90) days of the physician’s death, give public notice as to the disposition of patients’ medical records in a newspaper with a statewide circulation, and shall notify the Rhode Island Medical Society and Rhode Island Board of Medical Licensure and Discipline of the location of the records.
  3. Any physician closing his or her practice, or the heirs or estate of a deceased physician who had been practicing at the time of his or her death, shall dispose of the physician’s patient records in a location and manner so that the records are maintained and accessible to patients.
  4. Any person or corporation or other legal entity receiving medical records of any retired physician or deceased physician who had been practicing at the time of his or her death shall comply with and be subject to the provisions of chapter 37.3 of this title, the Confidentiality of Health Care Information Act, and shall be subject to the rules and regulations promulgated in accordance with § 23-1-48 and with the provisions of § 5-37-22(c) and (d), even though this person, corporation, or other legal entity is not a physician.

History of Section. P.L. 1988, ch. 597, § 1; P.L. 1997, ch. 195, § 1; P.L. 1997, ch. 358, § 1.

5-37-31. Mammograms — Quality assurance standards.

Any licensed physician interpreting a mammogram must meet state-approved quality assurance standards for interpreting mammograms. The director of the department of health has the authority to promulgate rules and regulations necessary to carry out the provisions of this section.

History of Section. P.L. 1989, ch. 217, § 6.

5-37-32. Pap smears — Quality assurance standards.

Any licensed physician taking a pap smear or supervising the taking of a pap smear shall submit the smear for processing only to a laboratory licensed by the Rhode Island department of health specifically to perform cervical cytology, or accredited by the American Society of Cytology, or accredited by the College of American Pathologists, or a hospital accredited by the Joint Commission for the Accreditation of Health Care Organizations, or a hospital accredited by the American Osteopathic Association.

History of Section. P.L. 1989, ch. 217, § 13.

5-37-33. Restrictive covenants.

  1. Any contract or agreement that creates or establishes the terms of a partnership, employment, or any other form of professional relationship with a physician licensed to practice medicine pursuant to this chapter that includes any restriction of the right of such physician to practice medicine shall be void and unenforceable with respect to said restriction; provided, however, that nothing herein shall render void or unenforceable the remaining provisions of any such contract or agreement.
  2. Restrictions rendered void under subsection (a) shall include, but shall not be limited to, the following:
    1. The right to practice medicine in any geographic area for any period of time after the termination of such partnership, employment, or professional relationship; and
    2. The right of such physician to provide treatment, advise, consult with, or establish a physician/patient relationship with any current patient of the employer; and
    3. The right of such physician to solicit or seek to establish a physician/patient relationship with any current patient of the employer.
  3. Notwithstanding the foregoing, the prohibition on physician covenants shall not apply in connection with the purchase and sale of a physician practice, provided the restrictive covenant and/or noncompete covenant is for a period of a time of no more than five (5) years.

History of Section. P.L. 2016, ch. 449, § 1; P.L. 2016, ch. 450, § 1.

Chapter 37.1 Board of Medical Review [Repealed.]

5-37.1-1 — 5-37.1-14. [Repealed.]

Repealed Sections.

This chapter (P.L. 1976, ch. 244, § 1; P.L. 1978, ch. 149, § 1; P.L. 1978, ch. 179, § 1; P.L. 1981, ch. 334, § 1; P.L. 1982, ch. 323, § 1; P.L. 1982, ch. 325, § 1; P.L. 1982, ch. 388, § 1; P.L. 1982, ch. 425, § 1; P.L. 1984, ch. 131, § 1; P.L. 1985, ch. 181, art. 17, § 1; P.L. 1986, ch. 251, § 1; P.L. 1986, ch. 251, § 1; G.L. 1956, §§ 5-37.1-1 5-37.1-1 4), consisting of §§ 5-37.1-1 — 5-37.1-14 and concerning the board of medical review, was repealed by P.L. 1986, ch. 301, § 2, effective January 1, 1987. For present provisions of law, see chapter 37 of this title.

Chapter 37.2 The Practice of Acupuncture and Chinese Medicine

CHAPTER 5-37.2

THE PRACTICE OF ACUPUNCTURE AND CHINESE MEDICINE

5-37.2-1. Legislative declaration — Acupuncture and Chinese medicine.

The practice of the healing art of acupuncture and Chinese medicine, and any branch of acupuncture and Chinese medicine, is declared to be a learned profession, affecting public safety and welfare and charged with the public interest, and subject to protection and regulation by the state.

History of Section. P.L. 1978, ch. 287, § 1; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler's Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

Comparative Legislation.

Acupuncture:

Mass. Ann. Laws ch. 112, § 148 et seq.

Collateral References.

Regulation of acupuncture. 17 A.L.R.4th 964.

5-37.2-1.1. Board of acupuncture and Chinese medicine.

  1. The director of the department shall appoint a board of acupuncture and Chinese medicine. The board shall consist of five (5) members, all of whom shall be residents of the state, four (4) of whom shall be doctors of acupuncture and Chinese medicine licensed by the department and engaged in the practice of acupuncture and Chinese medicine in the state for at least five (5) years prior to their appointment, and there shall be one public member. The members shall be appointed for terms of three (3) years; each member may serve a maximum of two (2) consecutive, full terms. No member of the board of acupuncture and Chinese medicine shall receive compensation for his or her attendance at meetings of the board.
  2. The director of health may remove any member from the board for neglect of any duty required by law or for any incompetency, unprofessional, or dishonorable conduct. Vacancies created by voluntary resignation or removal by the director of health shall be filled in the same manner as the original appointment was made for the remainder of the term.

History of Section. P.L. 2016, ch. 409, § 1; P.L. 2016, ch. 410, § 1; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler's Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-2. Definitions.

Unless the context otherwise requires, the words, phrases, and derivatives employed in this chapter have the meanings ascribed to them in this section:

  1. “Acupuncture” means the insertion of needles into the human body for the purpose of regulating physiology.
  2. “Acupuncture and Chinese medicine” means a form of health care, with a foundation in classical and modern Chinese medical concepts and theory, that employs Chinese medical diagnostic methods such as pulse, tongue, palpation, and observational diagnosis, as well as diagnostic techniques based on newer scientific models. “Acupuncture and Chinese medicine” includes acupuncture and adjunct therapies for the promotion, maintenance, or restoration of health, and the treatment, or prevention, of any ailment. The techniques and adjunct therapies of “Acupuncture and Chinese medicine” may include acupuncture, electro-acupuncture, laser acupuncture, moxibustion (heat therapy), cupping, TDP and infrared lamps, manual therapies such as gua sha, cupping, and tui na, corrective exercises such as Qi Gong, Chinese herbal medicine, dietary therapy, breathing exercises, and lifestyle change consultations.
  3. “Auricular acudetox,” also known as “5 Needle Protocol,” “5NP,” or “NADA protocol” means a standardized point auricular acupuncture protocol, consisting of five (5) points: Sympathetic, Shen Men, Liver, Kidney, and Lung, and  developed by the National Acupuncture Detox Association (NADA) as an adjunct therapy for the treatment of addiction, substance use disorder, mental and behavioral health, trauma, and for relief in disaster settings.
  4. “Auricular acupuncture technician (AAT)” means a qualified individual, as defined in this section, with auricular acupuncture technician training based on the program developed by NADA, and is delivered by NADA, or its equivalent.
  5. “Chinese herbal medicine” means traditional combinations of raw, granular preparations of herbs to produce formulas from Chinese herbal literature, the modification of those traditional combinations, or the writing of new formulas to address individual symptom presentations, through addition, deletion, substitution, or change in dosages of ingredients and the dispensing of these herbal preparations to patients, including in pill, tablet, capsule, or liquid form.
  6. “Department” means the state department of health.
  7. “Doctor of acupuncture” means a person licensed under the provisions of this chapter to practice acupuncture and Chinese medicine.
  8. “Doctor of acupuncture and Chinese medicine” means a person licensed under the provisions of this chapter to practice acupuncture and Chinese medicine, and who has additional training, experience or certification to practice Chinese herbal medicine.
  9. “General supervision” means, but is not limited to, availability by telephone or other electronic means during business hours.
  10. “National Acupuncture Detoxification Association” or “NADA” means a not-for-profit organization that provides a certificate of acudetox training.
  11. “Qualified individual” means a licensed nurse, clinical social worker, mental health counselor, certified peer recovery specialist, or certified alcohol or chemical dependency professional, trained and certified in auricular acudetox. A qualified individual is required to be under general supervision of a licensed acupuncturist pursuant to this chapter.

History of Section. P.L. 1978, ch. 287, § 1; P.L. 1985, ch. 181, art. 18, § 2; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 141, art. 20, § 7; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler's Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-2.1 — 5-37.2-6. [Repealed.]

Repealed Sections.

Former § 5-37.2-2.1 (P.L. 1978, ch. 287, § 1; P.L. 1985, ch. 181, art. 18, § 2; G.L. 1956, § 5-37.2-2.1 ), concerning definitions in this chapter, was repealed by P.L. 1986, ch. 255, § 1, effective June 19, 1986.

Former §§ 5-37.2-3 — 5-37.2-6 (P.L. 1978, ch. 287, § 1; P.L. 1982, ch. 356, § 2), concerning the former board of acupuncture, were repealed by P.L. 1985, ch. 181, art. 18, § 1, effective July 1, 1985. That same Act made the department of health the licensing authority under this chapter. See § 5-37.2-7 .

5-37.2-7. Powers of department.

For the purpose of conducting its responsibilities under this chapter, the department shall:

  1. Engage persons of established reputation and known ability in acupuncture or Chinese medicine as consultants to the department; the Rhode Island Society of Acupuncture, and any other professional association of acupuncture or Chinese medicine are designated as appropriate bodies with which the department shall consult for referral of consultants and other assistance to the department;
  2. Maintain an office in the state to carry out the provisions of this chapter;
  3. Promulgate rules and regulations, or either of them, not inconsistent with the provisions of this chapter. These rules and regulations may include a code of ethics regulating the professional conduct of licensees; and
  4. Compel the attendance of witnesses and the production of evidence by subpoena and administer oaths.

History of Section. P.L. 1978, ch. 287, § 1; P.L. 1979, ch. 395, § 1; P.L. 1985, ch. 181, art. 18, § 2; P.L. 1987, ch. 422, § 2; P.L. 1998, ch. 450, § 1; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler's Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-8. [Repealed.]

History of Section. P.L. 1978, ch. 287, § 1; Repealed by P.L. 1985, ch. 181, art. 18, § 1, effective July 1, 1985.

Compiler’s Notes.

Former § 5-37.2-8 concerned duties of the board.

5-37.2-8.1. License required.

  1. Unless licensed as a doctor of acupuncture or Chinese medicine under this chapter, or exempt from licensure under the provisions of this chapter, no person shall practice or hold himself or herself out as practicing, or engaging in the practice of, acupuncture and Chinese medicine, either for compensation or gratuitously.
  2. This chapter shall not be construed to make unlawful the activities of persons involved in research performed under the auspices of a federal- or state-regulated research institution.

History of Section. P.L. 1998, ch. 450, § 2; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler's Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-9. Special licensing.

  1. Upon application to the department prior to July 1, 1980, any person who has been an instructor in the art of acupuncture or Chinese medicine at a domestic or foreign college or university satisfactory to the department for a period of two (2) years and who has had at least ten (10) years’ experience, shall be granted a license by the department as a doctor of acupuncture or doctor of acupuncture and Chinese medicine without the necessity of taking an examination.
  2. An acupuncturist, licensed and in good standing to practice acupuncture in another jurisdiction, may perform acupuncture or acupuncture and Chinese medicine while teaching or demonstrating or providing acupuncture in connection with teaching or participating in an educational seminar in Rhode Island.
  3. An auricular acupuncture technician, qualified and trained to perform 5NP, may perform the procedure within that individual’s current scope of practice; provided, that the individual obtains a certificate of training from a recognized organization or agency that meets or exceeds NADA training.
  4. Acudetox may be performed by auricular acupuncture technicians working in, or in collaboration with, behavioral health and healthcare agencies, or other state-approved programs or agencies.
  5. Any complaints filed against an auricular acupuncture technician relating to the performance of any 5NP procedure shall be handled by the licensing board or department in conformance with the requirements of that individual’s healthcare license or certification.
  6. Any individual performing 5NP shall not use the title “acupuncturist” or “doctor of acupuncture” or “doctor of acupuncture and Chinese medicine,” as defined in § 5-37.2-2 , or otherwise represent himself or herself as an acupuncture professional and shall not perform acupuncture outside of the scope of the auricular acudetox procedure.
  7. Nothing in this chapter is intended to limit, interfere with, or prevent a certified auricular acupuncture technician from practicing within the scope of their certification.

History of Section. P.L. 1979, ch. 395, § 3; P.L. 1985, ch. 181, art. 18, § 2; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Repealed Sections.

The former section (P.L. 1978, ch. 287, § 1), creating the acupuncture advisory committee, was repealed by P.L. 1979, ch. 395, § 2.

Compiler's Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-10. Application for licenses — Fees.

An applicant for examination for a license to practice acupuncture and Chinese medicine or any branch of acupuncture and Chinese medicine shall:

  1. Submit an application to the department on forms provided by the department;
  2. Submit satisfactory evidence that the applicant is twenty-one (21) years or older and meets the appropriate education requirements;
  3. Pay a fee as set forth in § 23-1-54 ; and
  4. Pay any fees required by the department for an investigation of the applicant or for the services of a translator, if required, to enable the applicant to take the examination.

History of Section. P.L. 1978, ch. 287, § 1; P.L. 1985, ch. 181, art. 18, § 2; P.L. 2001, ch. 77, art. 14, § 13; P.L. 2007, ch. 73, art. 39, § 11; P.L. 2012, ch. 241, art. 9, § 13; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler’s Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-11. [Repealed.]

History of Section. P.L. 1978, ch. 287, § 1; P.L. 1985, ch. 181, art. 18, § 2; Repealed by P.L. 1987, ch. 442, § 3, effective July 1, 1987.

Compiler’s Notes.

Former § 5-37.2-11 concerned examinations.

5-37.2-12. Issuance of licenses to practice acupuncture.

The department shall issue a license for the practice of acupuncture and Chinese medicine where the applicant meets the requirements of § 5-37.2-12.1 except as exempted.

History of Section. P.L. 1978, ch. 287, § 1; P.L. 1979, ch. 395, § 1; P.L. 1985, ch. 181, art. 18, § 2; P.L. 1987, ch. 442, § 1; P.L. 1998, ch. 450, § 1; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler’s Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-12.1. Examination requirements and issuance of license.

  1. No person shall be licensed as a doctor of acupuncture or doctor of acupuncture and Chinese medicine unless the person has passed the examination by the National Certification Commission for Acupuncture and Oriental Medicine or a credentialing body approved by the department.
  2. Before any applicant is eligible for licensure, he or she shall furnish satisfactory proof that the applicant:
    1. Is a United States citizen or legal alien;
    2. Has demonstrated proficiency in the English language;
    3. Is at least twenty-one (21) years of age;
    4. Is of good moral character;
    5. Has completed an accredited program of not less than one thousand nine hundred five (1,905) hours of training and has received a certificate or diploma from an institute approved by the Accreditation Commission for Acupuncture and Oriental Medicine, or any accrediting body approved by the department, according to the provisions of this chapter; provided, that this subdivision does not apply to anyone licensed to practice under chapter 37 of this title who is qualified to take and pass the test by the National Certification Commission for Acupuncture and Oriental Medicine, or any credentialing body meeting the standards for professional certification programs approved by the department;
    6. Has completed a clinical internship training that is designated as appropriate by the Accreditation Commission for the Schools and Colleges of Acupuncture and Oriental Medicine (ACAOM) or any credentialing body meeting the standards for professional certification programs approved by the department; and
    7. Has two (2) letters of reference from reputable individuals other than relatives, one of which is from a licensed or registered doctor of acupuncture or doctor of acupuncture and Chinese medicine.
  3. Additional certification for the practice of Chinese herbal medicine.
    1. A licensed acupuncturist is required to demonstrate that  the licensee is qualified by training, experience, or certification to practice Chinese herbal medicine. The department shall adopt rules specifying the training required for licensed acupuncturists to obtain the certification to practice Chinese herbal medicine.
    2. Licensees who obtained licensure prior to January 1, 2022, and employ herbal therapy, including herbal formulations, and who submitted evidence of herbal training that the department has determined was substantially equivalent or exceeded the ACAOM curricular requirements regarding Chinese herbal medicine may continue to employ herbal therapy and may be granted a doctor of acupuncture and Chinese medicine license by the department.
    3. A licensee who is licensed on or after January 1, 2022, and who completed an ACAOM accredited or candidate status Oriental medicine program, or  traditional Chinese medicine program, or who completed an herbal medicine program that the department determined was substantially equivalent or exceeded the ACAOM curriculum requirements regarding herbal medicine, or who has passed the Chinese herbal medicine examination by the National Certification Commission for Acupuncture and Oriental Medicine or a credentialing body approved the department, may continue to employ Chinese herbal medicine therapy during the course of treatment if the licensee has obtained department approval to employ herbal therapy, and shall be granted a doctor of acupuncture and Chinese medicine license.
  4. All licensees pursuant to this chapter shall adhere to procedures that employ the use of disposable, single-use, sterile needles, with proper handling and disposal, and that follow the provisions of universal precautions.

History of Section. P.L. 1998, ch. 450, § 2; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2; P.L. 2018, ch. 176, § 10; P.L. 2018, ch. 289, § 10; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler’s Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-12.2. Reciprocal licensing requirements.

The health department may, at its discretion, issue a license without examination to a doctor of acupuncture or doctor of acupuncture and Chinese medicine who has been licensed, certified, or formally legally recognized as an acupuncturist in any state or territory if the following conditions are met to its satisfaction:

  1. The applicant meets the requirements of practice in the state or territory in which the applicant is licensed, certified, or registered as an acupuncturist; and
  2. The requirements for practice in the state or territory in which the applicant is licensed, certified, or registered as an acupuncturist are at least as stringent as those of this state.
  3. [Deleted by P.L. 2021, ch. 62, § 2 and P.L. 2021, ch. 68, § 2.]

History of Section. P.L. 1998, ch. 450, § 2; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler’s Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-12.3. Continuing education for acupuncture and Chinese medicine.

The health department shall establish, by regulation, mandatory continuing education requirements for a doctor of acupuncture and a doctor of acupuncture and Chinese medicine licensed in this state, including, but not limited to, the following:

  1. Each person licensed under this chapter, whether or not residing within this state, shall complete forty (40) hours of continuing education within each biennial renewal period, except during the initial annual renewal period.
  2. Continuing education hours will be accepted by the department for course work that has been presented, accepted, or approved by a nationally recognized acupuncture and Chinese medicine organization or its local chapter, or any accredited school of acupuncture and Chinese medicine.
  3. At the time of license renewal, each licensee is required to attest to the fact of having complied with the requirements in this section. Course descriptions, proof of attendance, or other documentation of completion will be retained by the licensee for a minimum of three (3) years and is subject to random audit by the department. Failure to produce satisfactory documentation of completion upon request by the department constitutes grounds for disciplinary action under the provisions of this chapter.
  4. Each person not obtaining the required number of hours of continuing education may have his or her license renewed for just cause, as determined by the department, so long as the department requires that the deficient hours of continuing education, and all unpaid fees, are made up during the following renewal period in addition to the current continuing education requirements for the renewal period. If any doctor of acupuncture or doctor of acupuncture and Chinese medicine fails to make up the deficient hours and complete the subsequent renewal period, or fails to make up unpaid fees, then his or her license shall not be renewed until all fees are paid and all the required hours are completed and documented to the department.

History of Section. P.L. 1998, ch. 450, § 2; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler’s Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-12.4. Licensure of previously licensed doctors of acupuncture.

  1. Any doctor of acupuncture validly licensed, certified, or registered under prior law of this state shall be deemed as licensed under the provisions of this chapter.
  2. No doctor of acupuncture licensed under this subsection shall accept or perform professional responsibilities that the licensee knows, or has reason to know, that he or she is not qualified by training, experience, or certification to perform. Violation of this section subjects the licensee to the revocation or suspension of his or her license. The department shall make regulations on these requirements and grant previously licensed, certified, or registered acupuncturists qualification on a case-by-case basis.

History of Section. P.L. 1998, ch. 450, § 2; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2.

5-37.2-13. [Repealed.]

History of Section. P.L. 1978, ch. 287, § 1; P.L. 1985, ch. 181, art. 18, § 2; P.L. 2012, ch. 241, art. 9, § 13; Repealed by P.L. 2015, ch. 140, § 3, effective June 26, 2015; P.L. 2015, ch. 141, art. 20, § 8, effective June 30, 2015; P.L. 2015, ch. 150, § 3, effective July 2, 2015.

Compiler’s Notes.

Former § 5-37.2-13 concerned issuance of license for acupuncture assistant.

5-37.2-14. Recordation and display of licenses — Annual registration fee — Penalties for failure to pay fee.

  1. Every person holding a license authorizing the person to practice acupuncture and Chinese medicine in this state shall record the person’s license with the city or town hall in the city or town where his or her office and residence are located. Every licensee upon a change of residence or office shall have his or her certificate recorded in the same manner in the municipality to which he or she has changed.
  2. Every license shall be displayed in the office, place of business, or place of employment of the license holder.
  3. Every person holding a license shall pay to the department, on or before February 1 of each year, the annual registration fee required pursuant to department rules and regulation. If the holder of a license fails to pay the registration fee, the holder’s license shall be suspended. The license may be reinstated by payment of the required fee within ninety (90) days after February 1.
  4. A license that is suspended for more than three (3) months under the provisions of subsection (c) may be canceled by the board after thirty (30) days’ notice to the holder of the license.
  5. [Deleted by P.L. 2007, ch. 73, art. 39, § 11.]

History of Section. P.L. 1978, ch. 287, § 1; P.L. 1985, ch. 181, art. 18, § 2; P.L. 2001, ch. 77, art. 14, § 13; P.L. 2007, ch. 73, art. 39, § 11; P.L. 2012, ch. 241, art. 9, § 13; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 141, art. 20, § 7; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler’s Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-15. Suspension, revocation, or refusal of license — Grounds.

The department may either refuse to issue or may suspend or revoke any license for any one or any combination of the following causes:

  1. Conviction of a felony, or conviction of a violation of any state or federal law regulating the possession, distribution, or use of any controlled substance as defined in § 21-28-1.02 , as shown by a certified copy of record of the court;
  2. The obtaining of, or any attempt to obtain, a license, or to practice in the profession for money or any other thing of value, by fraudulent misrepresentations;
  3. Gross malpractice;
  4. Advertising by means of knowingly false or deceptive statement;
  5. Advertising, practicing, or attempting to practice under a name other than one’s own;
  6. Habitual drunkenness or habitual addiction to the use of a controlled substance as defined in § 21-28-1.02 ;
  7. Using any false, fraudulent, or forged statement or document, or engaging in any fraudulent, deceitful, dishonest, immoral practice in connection with the licensing requirement of this chapter;
  8. Sustaining a physical or mental disability that renders further practice dangerous;
  9. Engaging in any dishonorable, unethical, or unprofessional conduct that may deceive, defraud, or harm the public, or that is unbecoming a person licensed to practice under this chapter;
  10. Using any false or fraudulent statement in connection with the practice of acupuncture or any branch of acupuncture;
  11. Violating, or attempting to violate, or assisting or abetting the violation of, or conspiring to violate, any provision of this chapter;
  12. Being adjudicated incompetent or insane;
  13. Advertising in an unethical or unprofessional manner;
  14. Obtaining a fee or financial benefit for any person by the use of fraudulent diagnosis, therapy, or treatment;
  15. Willfully disclosing a privileged communication;
  16. Failure of a licensee to designate his or her school of practice in the professional use of his or her name by the term “doctor of acupuncture and Chinese medicine”;
  17. Willful violation of the law relating to the health, safety, or welfare of the public, or of the rules and regulations promulgated by the state board of health;
  18. Administering, dispensing, or prescribing any controlled substance as defined in § 21-28-1.02 , except for the prevention, alleviation, or cure of disease or for relief from suffering; and
  19. Performing, assisting, or advising in the injection of any liquid silicone substance into the human body.

History of Section. P.L. 1978, ch. 287, § 1; P.L. 1985, ch. 181, art. 18, § 2; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 141, art. 20, § 7; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021; P.L. 2021, ch. 400, § 10, effective July 13, 2021; P.L. 2021, ch. 401, § 10, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

P.L. 2021, ch. 400, § 10, and P.L. 2021, ch. 401, § 10 enacted identical amendments to this section.

This section was amended by four acts ( P.L. 2021, ch. 62, § 2; P.L. 2021, ch. 68, § 2; P.L. 2021, ch. 400, § 10; P.L. 2021, ch. 401, § 10 ) as passed by the 2021 General Assembly. Since the acts are not in conflict with each other, the section is set out as amended by all four acts.

5-37.2-16. Suspension, revocation, or refusal of license — Notice and hearing.

The department shall not refuse to issue, refuse to renew, suspend, or revoke any license for any of the causes enumerated in § 5-37.2-15 , unless the person accused has been given at least twenty (20) days’ notice, in writing, of the charge against him or her and a hearing by the department.

History of Section. P.L. 1978, ch. 287, § 1; P.L. 1985, ch. 181, art. 18, § 2.

5-37.2-17. Applicability of chapter.

This chapter does not prohibit:

  1. Gratuitous services of druggists or other persons in cases of emergency;
  2. The domestic administration of family remedies; or
  3. Any person from assisting any person in the practice of the healing arts licensed under this chapter, except that this person may not insert needles into the skin.

History of Section. P.L. 1978, ch. 287, § 1.

5-37.2-18. Reporting vital statistics.

Doctors of acupuncture and Chinese medicine shall observe and be subject to all state and municipal regulations relative to reporting all births and deaths in all matters pertaining to the public health.

History of Section. P.L. 1978, ch. 287, § 1; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler’s Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-19. Seminars not in accordance with department regulations prohibited — Penalty.

  1. No seminar concerning acupuncture and Chinese medicine may be conducted in this state except in accordance with regulations prescribed by the department for bona fide educational seminars.
  2. Any person who violates subsection (a) of this section is guilty of a misdemeanor.

History of Section. P.L. 1978, ch. 287, § 1; P.L. 1985, ch. 181, art. 18, § 2; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler’s Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-20. Practice without a license a misdemeanor.

A person who represents himself or herself as a practitioner of acupuncture and Chinese medicine, or any branch of acupuncture and Chinese medicine, and who engages in the practice of acupuncture and Chinese medicine, or any branch of acupuncture and Chinese medicine, in this state without holding a valid license issued by the department is guilty of a misdemeanor.

History of Section. P.L. 1978, ch. 287, § 1; P.L. 1985, ch. 181, art. 18, § 2; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler’s Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-21. Injunctive relief.

  1. The department may maintain in any court of competent jurisdiction a suit for an injunction against any person or persons practicing acupuncture and Chinese medicine, or any branch of acupuncture and Chinese medicine, without a license.
  2. This injunction:
    1. May be issued without proof of actual damage sustained by any person, this provision being understood to be a preventive as well as a punitive measure.
    2. Shall not relieve the person from criminal prosecution for practicing without a license.

History of Section. P.L. 1978, ch. 287, § 1; P.L. 1985, ch. 181, art. 18, § 2; P.L. 2015, ch. 140, § 2; P.L. 2015, ch. 150, § 2; P.L. 2021, ch. 62, § 2, effective June 25, 2021; P.L. 2021, ch. 68, § 2, effective June 25, 2021.

Compiler’s Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical amendments to this section.

5-37.2-22. Physicians practicing acupuncture excepted.

This chapter shall not be construed to prohibit a physician from practicing acupuncture as authorized under § 5-37-20 .

History of Section. P.L. 1978, ch. 287, § 1; P.L. 1979, ch. 395, § 1; P.L. 1986, ch. 301, § 7.

5-37.2-23. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1989, ch. 126, art. 26, § 16; P.L. 1995, ch. 370, art. 40, § 20.

5-37.2-24. Meaning of terms in existing laws.

When in any law, resolution, document, record, instrument, proceeding, or other place the words “Oriental medicine” as applied in this chapter appear, they shall be construed to mean “Chinese medicine”.

History of Section. P.L. 2021, ch. 62, § 3, effective June 25, 2021; P.L. 2021, ch. 68, § 3, effective June 25, 2021.

Compiler’s Notes.

P.L. 2021, ch. 62, § 2, and P.L. 2021, ch. 68, § 2 enacted identical versions of this section.

Chapter 37.3 Confidentiality of Health Care Communications and Information Act

5-37.3-1. Short title.

This chapter may be cited as the “Confidentiality of Health Care Information Act.”

History of Section. P.L. 1978, ch. 297, § 1.

5-37.3-2. Statement of purpose.

The purpose of this chapter is to establish safeguards for maintaining the integrity of confidential healthcare information that relates to an individual.

History of Section. P.L. 1978, ch. 297, § 1.

5-37.3-3. Definitions.

As used in this chapter:

  1. “Authorized representative” means:
    1. A person empowered by the patient/client to assert or to waive the confidentiality, or to disclose or consent to the disclosure of confidential information, as established by this chapter. That person is not, except by explicit authorization, empowered to waive confidentiality or to disclose or consent to the disclosure of confidential information;
    2. A guardian or conservator, if the person whose right to confidentiality is protected under this chapter is incompetent to assert or waive that right;
    3. If the patient/client is deceased, his or her personal representative or, in the absence of that representative, his or her heirs-at-law; or
    4. A patient’s attorney.
  2. “Board of medical licensure and discipline” means the board created under chapter 37 of this title.
    1. “Confidential healthcare communication” means a communication of healthcare information by an individual to a healthcare provider, including a transcription of any information, not intended to be disclosed to third persons except if those persons are:
      1. Present to further the interest of the patient in the consultation, examination, or interview;
      2. Reasonably necessary for the transmission of the communication; or
      3. Participating in the diagnosis and treatment under the direction of the healthcare provider, including members of the patient’s family.
    2. “Confidential healthcare information” means all information relating to a patient’s healthcare history, diagnosis, condition, treatment, or evaluation obtained from a healthcare provider who has treated the patient.
  3. “Healthcare provider” means any person licensed by this state to provide or lawfully providing healthcare services, including, but not limited to, a physician, hospital, intermediate-care facility or other healthcare facility, dentist, nurse, optometrist, podiatrist, physical therapist, psychiatric social worker, pharmacist, or psychologist, and any officer, employee, or agent of that provider acting in the course and scope of his or her employment or agency related to or supportive of health services.
  4. “Healthcare services” means acts of diagnosis, treatment, medical evaluation, or counseling or any other acts that may be permissible under the healthcare licensing statutes of this state.
  5. “Managed-care contractor” means a person that:
    1. Establishes, operates, or maintains a network of participating providers;
    2. Conducts or arranges for utilization review activities; and
    3. Contracts with an insurance company, a hospital or medical-service plan, an employer, an employee organization, or any other entity providing coverage for healthcare services to operate a managed-care plan.
  6. “Managed-care entity” includes a licensed insurance company, hospital, or medical-service plan, health-maintenance organization, an employer or employee organization, or a managed-care contractor as described in subsection (6) of this section, that operates a managed-care plan.
  7. “Managed-care plan” means a plan operated by a managed-care entity as described in subsection (7), that provides for the financing and delivery of healthcare services to persons enrolled in the plan through:
    1. Arrangements with selected providers to furnish healthcare services;
    2. Explicit standards for the selection of participating providers;
    3. Organizational arrangements for ongoing quality assurance, utilization-review programs, and dispute resolution; and
    4. Financial incentives for persons enrolled in the plan to use the participating providers and procedures provided for by the plan.
  8. “Medical peer-review board” means a peer-review board under chapter 37 of this title.
  9. “Nurse” means a registered nurse or licensed practical nurse licensed to practice nursing in the state.
  10. “Participating provider” means a physician, hospital, pharmacy, laboratory, dentist, or other state-licensed or other state-recognized provider of healthcare services or supplies, that has entered into an agreement with a managed-care entity to provide any services or supplies to a patient enrolled in a managed-care plan.
  11. “Patient” means a person who receives healthcare services from a healthcare provider.
  12. “Personally identifiable confidential healthcare information” means confidential healthcare information, which explicitly or by implication identifies a particular patient.
  13. “Physician” means a person registered or licensed to practice allopathic or osteopathic medicine in this state under Rhode Island general laws.
  14. “Psychiatric social worker” means a person holding a master’s or further-advanced degree from a school of social work accredited by the council of social work education.
  15. “Psychologist” means a certified psychologist under chapter 44 of this title.
  16. “Qualified personnel” means persons whose training and experience are appropriate to the nature and level of the work in which they are engaged and who, when working as part of an organization, are performing that work with published and adequate administrative safeguards against disclosure unauthorized under this chapter.
  17. “Third party” means a person other than the patient to whom the confidential healthcare information relates and other than a healthcare provider.
  18. “Third-party requestor” means any person or entity presenting a patient-signed Health Insurance Portability and Accountability Act (HIPAA)-compliant authorization allowing them to obtain a copy of the patient’s medical records or reports.

History of Section. P.L. 1978, ch. 297, § 1; P.L. 1979, ch. 221, § 1; P.L. 1996, ch. 248, § 2; P.L. 1996, ch. 266, § 2; P.L. 1996, ch. 343, § 1; P.L. 1996, ch. 401, § 1; P.L. 1998, ch. 167, § 1; P.L. 2009, ch. 310, § 32; P.L. 2017, ch. 120, § 2; P.L. 2017, ch. 140, § 2.

NOTES TO DECISIONS

“Confidential Healthcare Communication.”

In a first-degree child abuse case, the trial justice did not err by requiring a licensed clinical social worker to testify about statements defendant made to her while seeking mental-health treatment because any privilege under the Confidentiality of Health Care Information Act, § 5-37.3-6 , was rendered a nullity by § 40-11-11 , which unambiguously abrogated all privileges that might otherwise attach to communications between any professional person and his or her patient or client in situations involving known or suspected child abuse or neglect and any such privileges could not justify a failure to give or accept evidence in any judicial proceeding relating to child abuse or neglect. State v. Lefebvre, 198 A.3d 521, 2019 R.I. LEXIS 5 (R.I. 2019).

“Confidential Healthcare Information.”

Witness’s medical, psychiatric, and psychological records constituted “confidential healthcare information” under R.I. Gen. Laws § 5-37.3-3(3)(ii) ; therefore, although the trial court properly conducted an in camera review as provided in R.I. Super. Ct. R. Civ. P. 26 , the trial court erred in failing to weigh the applicant’s need for the information against the privacy interest of the witness, as required by R.I. Gen. Laws § 5-37.3-6.1(d) and (e). DePina v. State, 79 A.3d 1284, 2013 R.I. LEXIS 160 (R.I. 2013).

In-Camera Inspection.

Where the record reflected that the trial justice conducted the necessary in-camera inspection of medical records sought by the defendant, in order to decide the impact of the requested records upon the defendant’s right to confront and effectively cross-examine the witnesses, the appellate court would not independently review the records. State v. Bettencourt, 723 A.2d 1101, 1999 R.I. LEXIS 2 (R.I. 1999).

Third Parties.

A pharmacy is not a “healthcare provider” since the dispensing of medicines pursuant to prescriptions ordered by licensed healthcare providers is not a “healthcare service”; however, a pharmacy is a “third party” who receives confidential records and is thus subject to this chapter. Washburn v. Rite Aid Corp., 695 A.2d 495, 1997 R.I. LEXIS 203 (R.I. 1997).

5-37.3-4. Limitations on and permitted disclosures.

    1. Except as provided in subsection (b), or as specifically provided by the law, a patient’s confidential healthcare information shall not be released or transferred without the written consent of the patient, or his or her authorized representative, on a consent form meeting the requirements of subsection (d). A copy of any notice used pursuant to subsection (d) and of any signed consent shall, upon request, be provided to the patient prior to his or her signing a consent form. Any and all managed care entities and managed care contractors writing policies in the state shall be prohibited from providing any information related to enrollees that is personal in nature and could reasonably lead to identification of an individual and is not essential for the compilation of statistical data related to enrollees, to any international, national, regional, or local medical-information database. This provision shall not restrict or prohibit the transfer of information to the department of health to carry out its statutory duties and responsibilities.
    2. Any person who violates the provisions of this section may be liable for actual and punitive damages.
    3. The court may award a reasonable attorney’s fee at its discretion to the prevailing party in any civil action under this section.
    4. Any person who knowingly and intentionally violates the provisions of this section shall, upon conviction, be fined not more than five thousand ($5,000) dollars for each violation, or imprisoned not more than six (6) months for each violation, or both.
    5. Any contract or agreement that purports to waive the provisions of this section shall be declared null and void as against public policy.
  1. No consent for release or transfer of confidential healthcare information shall be required in the following situations:
    1. To a physician, dentist, or other medical personnel who believes, in good faith, that the information is necessary for diagnosis or treatment of that individual in a medical or dental emergency;
    2. To medical and dental peer-review boards, or the board of medical licensure and discipline, or board of examiners in dentistry;
    3. To qualified personnel for the purpose of conducting scientific research, management audits, financial audits, program evaluations, actuarial, insurance underwriting, or similar studies; provided, that personnel shall not identify, directly or indirectly, any individual patient in any report of that research, audit, or evaluation, or otherwise disclose patient identities in any manner;
      1. By a healthcare provider to appropriate law enforcement personnel, or to a person if the healthcare provider believes that person, or his or her family, is in danger from a patient; or to appropriate law enforcement personnel if the patient has, or is attempting to obtain, narcotic drugs from the healthcare provider illegally; or to appropriate law enforcement personnel, or appropriate child-protective agencies, if the patient is a minor child or the parent or guardian of said child and/or the healthcare provider believes, after providing healthcare services to the patient, that the child is, or has been, physically, psychologically, or sexually abused and neglected as reportable pursuant to § 40-11-3 ; or to appropriate law enforcement personnel or the office of healthy aging if the patient is an elder person and the healthcare provider believes, after providing healthcare services to the patient, that the elder person is, or has been, abused, neglected, or exploited as reportable pursuant to § 42-66-8 ; or to law enforcement personnel in the case of a gunshot wound reportable under § 11-47-48 , or to patient emergency contacts and certified peer recovery specialists notified in the case of an opioid overdose reportable under § 23-17.26-3 ;
      2. A healthcare provider may disclose protected health information in response to a law enforcement official’s request for such information for the purpose of identifying or locating a suspect, fugitive, material witness, or missing person, provided that the healthcare provider may disclose only the following information:
        1. Name and address;
        2. Date and place of birth;
        3. Social security number;
        4. ABO blood type and RH factor;
        5. Type of injury;
        6. Date and time of treatment;
        7. Date and time of death, if applicable; and
        8. A description of distinguishing physical characteristics, including height, weight, gender, race, hair and eye color, presence or absence of facial hair (beard or moustache), scars, and tattoos.
        9. Except as permitted by this subsection, the healthcare provider may not disclose for the purposes of identification or location under this subsection any protected health information related to the patient’s DNA or DNA analysis, dental records, or typing, samples, or analysis of body fluids or tissue;
      3. A healthcare provider may disclose protected health information in response to a law enforcement official’s request for such information about a patient who is, or is suspected to be, a victim of a crime, other than disclosures that are subject to subsection (b)(4)(vii), if:
        1. The patient agrees to the disclosure; or
        2. The healthcare provider is unable to obtain the patient’s agreement because of incapacity or other emergency circumstances provided that:
          1. The law enforcement official represents that the information is needed to determine whether a violation of law by a person other than the victim has occurred, and such information is not intended to be used against the victim;
          2. The law enforcement official represents that immediate law enforcement activity that depends upon the disclosure would be materially and adversely affected by waiting until the patient is able to agree to the disclosure; and
          3. The disclosure is in the best interests of the patient as determined by the healthcare provider in the exercise of professional judgment; (iv) A healthcare provider may disclose protected health information about a patient who has died to a law enforcement official for the purpose of alerting law enforcement of the death of the patient if the healthcare provider has a suspicion that such death may have resulted from criminal conduct; (v) A healthcare provider may disclose to a law enforcement official protected health information that the healthcare provider believes in good faith constitutes evidence of criminal conduct that occurred on the premises of the healthcare provider; (vi) (A) A healthcare provider providing emergency health care in response to a medical emergency, other than such emergency on the premises of the covered healthcare provider, may disclose protected health information to a law enforcement official if such disclosure appears necessary to alert law enforcement to:
            1. The commission and nature of a crime;
            2. The location of such crime or of the victim(s) of such crime; and
            3. The identity, description, and location of the perpetrator of such crime. (B) If a healthcare provider believes that the medical emergency described in subsection (b)(4)(vi)(A) is the result of abuse, neglect, or domestic violence of the individual in need of emergency health care, subsection (b)(4)(vi)(A) does not apply and any disclosure to a law enforcement official for law enforcement purposes is subject to subsection (b)(4)(vii); (vii) (A) Except for reports permitted by subsection (b)(4)(i), a healthcare provider may disclose protected health information about a patient the healthcare provider reasonably believes to be a victim of abuse, neglect, or domestic violence to law enforcement or a government authority, including a social-service or protective-services agency, authorized by law to receive reports of such abuse, neglect, or domestic violence:
              1. To the extent the disclosure is required by law and the disclosure complies with, and is limited to, the relevant requirements of such law;
              2. If the patient agrees to the disclosure; or
              3. To the extent the disclosure is expressly authorized by statute or regulation and:
                1. The healthcare provider, in the exercise of professional judgment, believes the disclosure is necessary to prevent serious harm to the patient or other potential victims; or
                2. If the patient is unable to agree because of incapacity, a law enforcement or other public official authorized to receive the report represents that the protected health information for which disclosure is sought is not intended to be used against the patient and that an immediate enforcement activity that depends upon the disclosure would be materially and adversely affected by waiting until the patient is able to agree to the disclosure. (B) A healthcare provider that makes a disclosure permitted by subsection (b)(4)(vii)(A) must promptly inform the patient that such a report has been, or will be, made, except if:
                  1. The healthcare facility, in the exercise of professional judgment, believes informing the patient would place the individual at risk of serious harm; or
                  2. The healthcare provider would be informing a personal representative, and the healthcare provider reasonably believes the personal representative is responsible for the abuse, neglect, or other injury, and that informing such person would not be in the best interests of the individual as determined by the covered entity in the exercise of professional judgment; (viii) The disclosures authorized by this subsection shall be limited to the minimum amount of information necessary to accomplish the intended purpose of the release of information;
                  3. Between, or among, qualified personnel and healthcare providers within the healthcare system for purposes of coordination of healthcare services given to the patient and for purposes of education and training within the same healthcare facility;
                  4. To third-party health insurers, including to utilization review agents as provided by § 23-17.12-9(c)(4), third-party administrators licensed pursuant to chapter 20.7 of title 27, and other entities that provide operational support to adjudicate health insurance claims or administer health benefits;
                  5. To a malpractice insurance carrier or lawyer if the healthcare provider has reason to anticipate a medical-liability action;
                    1. To the healthcare provider’s own lawyer or medical-liability insurance carrier if the patient whose information is at issue brings a medical-liability action against a healthcare provider.
                    2. Disclosure by a healthcare provider of a patient’s healthcare information that is relevant to a civil action brought by the patient against any person or persons other than that healthcare provider may occur only under the discovery methods provided by the applicable rules of civil procedure (federal or state). This disclosure shall not be through ex parte contacts and not through informal ex parte contacts with the provider by persons other than the patient or his or her legal representative. Nothing in this section shall limit the right of a patient, or his or her attorney, to consult with that patient’s own physician and to obtain that patient’s own healthcare information;
                  6. To public-health authorities in order to carry out their functions as described in this title and titles 21 and 23 and rules promulgated under those titles. These functions include, but are not restricted to, investigations into the causes of disease, the control of public-health hazards, enforcement of sanitary laws, investigation of reportable diseases, certification and licensure of health professionals and facilities, review of health care such as that required by the federal government and other governmental agencies;
                  7. To the state medical examiner in the event of a fatality that comes under his or her jurisdiction;
                  8. In relation to information that is directly related to a current claim for workers’ compensation benefits or to any proceeding before the workers’ compensation commission or before any court proceeding relating to workers’ compensation;
                  9. To the attorneys for a healthcare provider whenever that provider considers that release of information to be necessary in order to receive adequate legal representation;
                  10. By a healthcare provider to appropriate school authorities of disease, health screening, and/or immunization information required by the school; or when a school-age child transfers from one school or school district to another school or school district;
                  11. To a law enforcement authority to protect the legal interest of an insurance institution, agent, or insurance-support organization in preventing and prosecuting the perpetration of fraud upon them;
                  12. To a grand jury, or to a court of competent jurisdiction, pursuant to a subpoena or subpoena duces tecum when that information is required for the investigation or prosecution of criminal wrongdoing by a healthcare provider relating to his, her or its provisions of healthcare services and that information is unavailable from any other source; provided, that any information so obtained, is not admissible in any criminal proceeding against the patient to whom that information pertains;
                  13. To the state board of elections pursuant to a subpoena or subpoena duces tecum when that information is required to determine the eligibility of a person to vote by mail ballot and/or the legitimacy of a certification by a physician attesting to a voter’s illness or disability;
                  14. To certify, pursuant to chapter 20 of title 17, the nature and permanency of a person’s illness or disability, the date when that person was last examined and that it would be an undue hardship for the person to vote at the polls so that the person may obtain a mail ballot;
                  15. To the central cancer registry;
                  16. To the Medicaid fraud control unit of the attorney general’s office for the investigation or prosecution of criminal or civil wrongdoing by a healthcare provider relating to his, her, or its provision of healthcare services to then-Medicaid-eligible recipients or patients, residents, or former patients or residents of long-term residential-care facilities; provided, that any information obtained shall not be admissible in any criminal proceeding against the patient to whom that information pertains;
                  17. To the state department of children, youth and families pertaining to the disclosure of healthcare records of children in the custody of the department;
                  18. To the foster parent, or parents, pertaining to the disclosure of healthcare records of children in the custody of the foster parent, or parents; provided, that the foster parent or parents receive appropriate training and have ongoing availability of supervisory assistance in the use of sensitive information that may be the source of distress to these children;
                  19. A hospital may release the fact of a patient’s admission and a general description of a patient’s condition to persons representing themselves as relatives or friends of the patient or as a representative of the news media. The access to confidential healthcare information to persons in accredited educational programs under appropriate provider supervision shall not be deemed subject to release or transfer of that information under subsection (a);
                  20. To the workers’ compensation fraud prevention unit for purposes of investigation under §§ 42-16.1-12 42-16.1-16 . The release or transfer of confidential healthcare information under any of the above exceptions is not the basis for any legal liability, civil or criminal, nor considered a violation of this chapter; or
                  21. To a probate court of competent jurisdiction, petitioner, respondent, and/or their attorneys, when the information is contained within a decision-making assessment tool that conforms to the provisions of § 33-15-47 . (c) Third parties receiving, and retaining, a patient’s confidential healthcare information must establish at least the following security procedures:
                    1. Limit authorized access to personally identifiable confidential healthcare information to persons having a “need to know” that information; additional employees or agents may have access to that information that does not contain information from which an individual can be identified;
                    2. Identify an individual, or individuals, who have responsibility for maintaining security procedures for confidential healthcare information;
                    3. Provide a written statement to each employee or agent as to the necessity of maintaining the security and confidentiality of confidential healthcare information, and of the penalties provided for in this chapter for the unauthorized release, use, or disclosure of this information. The receipt of that statement shall be acknowledged by the employee or agent, who signs and returns the statement to his or her employer or principal, who retains the signed original. The employee or agent shall be furnished with a copy of the signed statement; and
                    4. Take no disciplinary or punitive action against any employee or agent solely for bringing evidence of violation of this chapter to the attention of any person. (d) Consent forms for the release or transfer of confidential healthcare information shall contain, or in the course of an application or claim for insurance be accompanied by a notice containing, the following information in a clear and conspicuous manner:
                      1. A statement of the need for and proposed uses of that information;
                      2. A statement that all information is to be released or clearly indicating the extent of the information to be released; and
                      3. A statement that the consent for release or transfer of information may be withdrawn at any future time and is subject to revocation, except where an authorization is executed in connection with an application for a life or health insurance policy in which case the authorization expires two (2) years from the issue date of the insurance policy, and when signed in connection with a claim for benefits under any insurance policy, the authorization shall be valid during the pendency of that claim. Any revocation shall be transmitted in writing. (e) Except as specifically provided by law, an individual’s confidential healthcare information shall not be given, sold, transferred, or in any way relayed to any other person not specified in the consent form or notice meeting the requirements of subsection (d) without first obtaining the individual’s additional written consent on a form stating the need for the proposed new use of this information or the need for its transfer to another person. (f) Nothing contained in this chapter shall be construed to limit the permitted disclosure of confidential healthcare information and communications described in subsection (b).

History of Section. P.L. 1978, ch. 297, § 1; P.L. 1979, ch. 221, § 1; P.L. 1981, ch. 283, § 1; P.L. 1983, ch. 172, § 20; P.L. 1985, ch. 402, § 6; P.L. 1989, ch. 502, § 1; P.L. 1992, ch. 427, § 1; P.L. 1993, ch. 281, § 1; P.L. 1996, ch. 248, § 2; P.L. 1996, ch. 266, § 2; P.L. 1996, ch. 343, § 1; P.L. 1996, ch. 401, § 1; P.L. 1997, ch. 326, § 5; P.L. 1998, ch. 180, § 1; P.L. 1998, ch. 420, § 1; P.L. 1999, ch. 216, § 1; P.L. 1999, ch. 384, § 1; P.L. 2003, ch. 42, § 1; P.L. 2003, ch. 281, § 1; P.L. 2004, ch. 314, § 1; P.L. 2006, ch. 216, § 1; P.L. 2010, ch. 82, § 1; P.L. 2010, ch. 85, § 1; P.L. 2013, ch. 302, § 1; P.L. 2013, ch. 403, § 1; P.L. 2014, ch. 277, § 1; P.L. 2014, ch. 333, § 1; P.L. 2019, ch. 38, § 2; P.L. 2019, ch. 55, § 2; P.L. 2020, ch. 79, art. 2, § 1.

Compiler’s Notes.

Section 23-17.12-9 , referred to in subsection (b)(6) of this section, was repealed by P.L. 2017, ch. 302, art. 5, § 1, effective Jan. 1, 2018. For comparable provisions, see § 27-18.9-1 et seq., effective Jan. 1, 2018.

P.L. 2019, ch. 38, § 2, and P.L. 2019, ch. 55, § 2 enacted identical amendments to this section.

Cross References.

Disclosure of confidential healthcare information to auditor general, § 22-13-7 .

Law Reviews.

Caselaw Survey Section: Evidence, see Roger Williams Univ. L. Rev. 715 (1999).

NOTES TO DECISIONS

Blood Alcohol Level Test Results.

The consent requirement of § 31-7-2 is within the exception for the release of healthcare information otherwise provided by law. State v. Timms, 505 A.2d 1132, 1986 R.I. LEXIS 416 (R.I. 1986).

Results of tests on blood taken from defendant at the hospital after a car accident are not privileged under this section. State v. Guido, 698 A.2d 729, 1997 R.I. LEXIS 252 (R.I. 1997).

Board of Medical Review Investigation.

The Confidentiality of Health Care Information Act does not prevent the subpoenaing of a physician’s records of patient treatment during the investigation stages of a board of medical review inquiry into alleged unprofessional conduct. In re Board of Medical Review Investigation, 463 A.2d 1373, 1983 R.I. LEXIS 1042 (R.I. 1983).

Causes of Action.

The plaintiff’s declaratory judgment action for a violation of the Confidentiality of Health Care Information Act was properly dismissed; declaratory judgment is not the proper vehicle to litigate an alleged statutory violation which entails criminal and civil penalties such as this Act. Chase v. Mousseau, 448 A.2d 1221, 1982 R.I. LEXIS 985 (R.I. 1982).

Child Abuse.

Disclosure of the records of the department for children and their families is not prohibited in cases of known or suspected child abuse. State v. Anthony, 440 A.2d 736, 1982 R.I. LEXIS 791 (R.I. 1982).

Release of Information.

Board of Examiners in Dentistry is not required to utilize its subpoena power to obtain confidential healthcare records in conducting its investigation; in this case, the board made a reasonable request for the full patient files after the dentist had produced the very records he claimed were privileged, and the board was not required by statute or otherwise to subpoena the records. Begg v. Alexander-Scott, 242 A.3d 23, 2020 R.I. LEXIS 77 (R.I. 2020).

Report Obtained by Patient.

Confidential healthcare information does not include a medical report that a patient directly procures from his own physician and personally delivers to a third-party employer. Trembley v. Central Falls, 480 A.2d 1359, 1984 R.I. LEXIS 573 (R.I. 1984).

Retirement Proceedings.

Superior Court justice did not err in ordering that medical records be delivered to an employee retirement investigatory committee in redacted form under subsection (b)(3). Furthermore, because plaintiffs introduced their physical conditions in proceedings before the retirement board, § 5-37.3-6 signifies that the medical records need not be provided in redacted form, but may, in fact, be provided to the committee in unedited form identifying the individual plaintiffs. Fiore v. Lynch, 637 A.2d 1052, 1994 R.I. LEXIS 59 (R.I. 1994).

Rights of Criminal Defendant.

Trial court’s denial of defendant’s motion to examine and introduce medical records of only surviving eyewitness constituted a denial of his right to confrontation. State v. Parillo, 480 A.2d 1349, 1984 R.I. LEXIS 570 (R.I. 1984).

Third Parties.

A pharmacy is not a “healthcare provider” since the dispensing of medicines pursuant to prescriptions ordered by licensed healthcare providers is not a “healthcare service”; however, a pharmacy is a “third party” who receives confidential records and is thus subject to this chapter. Washburn v. Rite Aid Corp., 695 A.2d 495, 1997 R.I. LEXIS 203 (R.I. 1997).

Waiver.

The legislature intended that the patient-physician privilege automatically be waived when a patient elects to bring a medical-malpractice claim or otherwise puts his or her medical condition at issue. Accordingly, the defendant’s attorney was not prohibited from talking to the plaintiff’s subsequent treating physicians in the course of pretrial discovery. Lewis v. Roderick, 617 A.2d 119, 1992 R.I. LEXIS 211 (R.I. 1992); Donovan v. Bowling, 706 A.2d 937, 1998 R.I. LEXIS 38 (R.I. 1998).

Collateral References.

Discovery, in medical malpractice action, of names and medical records of other patients to whom defendant has given treatment similar to that allegedly injuring plaintiff. 66 A.L.R.5th 591.

5-37.3-5. Transfer and amendment of information.

  1. Upon occurrence of an action or decision of any third party that adversely affects a patient and that is based in whole or in part upon that patient’s confidential healthcare information (including, but not limited to, the following actions or decisions: (1) Denial of an application for an insurance policy; (2) Issuance of an insurance policy with other than standard and uniform restrictions; (3) Rejection, in whole or in part, of any claim for insurance benefits; (4) Denial of an employment application or termination of employment when that denial or termination is for health reasons) and upon the written request of that patient or his or her authorized representative (or, if that patient is deceased, then his or her heir or beneficiary or their authorized representative, or his or her estate), a third party shall transfer copies of all of that patient’s confidential healthcare information in its possession to a physician designated in that written request. Prior to making this transfer, a third party may require payment of its actual cost of retrieval, duplication, and forwarding of that information.
  2. A physician receiving confidential healthcare information pursuant to subsection (a) may review, interpret, and disclose any or all of that information to the person at whose request that information was transferred, as that physician deems in his or her professional judgment to be in the best interests of the patient to whom that information relates.
  3. After reviewing his or her confidential healthcare information pursuant to this section, a patient or his or her authorized representative may request the third party to amend or expunge any part he or she believes is in error, or request the addition of any recent relevant information. Upon receiving such a request, the third party shall notify the healthcare provider who initially forwarded that information to the third party, and when that healthcare provider concurs with that request, the third party shall return that information to that healthcare provider for modification. Prior to making that return, a third party may require payment of its actual cost of notice, duplication, and return of that information. Except upon court order, the third party shall not itself modify that information. A patient, after requesting and reviewing his or her confidential healthcare information, has the right, in any case, to place into the file, at his or her own cost, a statement of reasonable length of his or her view as to the correctness or relevance of existing information or as to the addition of new information. That statement or copies of the statement shall at all times accompany that part of the information in contention.
  4. A person or his or her authorized representative has the right, when there is an unreasonable refusal to change the records as provided in this section, to apply to the district court to amend or expunge any part of his or her confidential healthcare information in a third party’s possession that he or she believes to be erroneous.

History of Section. P.L. 1978, ch. 297, § 1; P.L. 1979, ch. 221, § 1.

5-37.3-5.1. Diagnostic tests — Transfer and access.

Notwithstanding other provisions of this chapter, healthcare providers shall, upon the written request of the patient, his or her authorized representative, or treating physician, transfer a copy of diagnostic test results to any subsequent healthcare provider.

History of Section. P.L. 1988, ch. 135, § 1.

5-37.3-6. Court proceedings — Confidential healthcare communication.

  1. Except as provided in subsection (b), confidential healthcare communications shall not be subject to compulsory legal process in any type of judicial proceeding, and a patient or his or her authorized representative has the right to refuse to disclose, and to prevent a witness from disclosing, his or her confidential healthcare communications in any judicial proceedings.
  2. The exemption from compulsory legal process and the privilege provided in subsection (a) does not apply:
    1. When an individual introduces his or her physical or mental condition, including, but not limited to, any allegation of mental anguish, mental suffering, or similar condition, as an element of his or her claim or defense; provided, that a claim for damages or other relief for “pain and suffering” based solely on one’s physical condition shall not be deemed to constitute the introduction of one’s mental condition into issue and the exemption and privilege applies in that situation only to those portions of one’s confidential healthcare information relating to mental condition;
    2. When, in a civil or criminal commitment proceeding, a physician, in the course of diagnosis, treatment, or medical evaluation of an individual, determines that an individual is in need of care and treatment in a hospital or any other healthcare facility that is deemed by the individual’s physician to be appropriate for mental illness;
    3. When a court finds that an individual, after having been informed that the communications would not be privileged, has made communications to a psychiatrist in the course of a psychiatric examination ordered by the court; provided, that the communications shall be admissible only on issues involving the individual’s mental condition;
    4. When, in any court proceeding, including an ex parte hearing, it is demonstrated on a prima facie basis to the court that the individual’s physical or mental condition is of an imminent and serious danger to the physical or mental health of another person;
    5. When, in any action by a person pursuant to § 5-37.3-5(d) , or in any policy action brought by an individual against his or her insurance carrier, or by the carrier against an insured, it is demonstrated to the court that the confidential healthcare information is relevant and material, that court may issue, in its discretion, an order compelling production of this information;
    6. When, in any court proceeding, civil or criminal, the issue arises as to the ingestion by an individual of intoxicating liquor, toluene, or any controlled substance as defined in chapter 28 of title 21, upon motion by any party to that proceeding, and it is demonstrated to the court that the confidential healthcare information is relevant and material, that court may issue, in its discretion, an order compelling production of that information, if any, that demonstrates the presence of alcohol in a concentration of one tenth of one percent (.1%) or more by weight or the presence of a controlled substance in that individual, as shown by a chemical analysis of a blood, breath, or urine sample, if this test was originally performed at the direction of a law enforcement official in accordance with § 31-27-2 .

History of Section. P.L. 1978, ch. 297, § 1; P.L. 1985, ch. 395, § 1; P.L. 1996, ch. 248, § 2; P.L. 1996, ch. 266, § 2.

Law Reviews.

Survey Section: Confidential Health-Care Records, see 3 R.W.U.L. Rev. 408 (1998).

NOTES TO DECISIONS

Constitutionality.

This section is violative of the separation of powers mandated by Article 3 of the Rhode Island Constitution. Bartlett v. Danti, 503 A.2d 515, 1986 R.I. LEXIS 382 (R.I. 1986).

This section is violative of Rhode Island Constitution Article 1, § 5 because, absent the patient consent mandated by § 5-37.3-4(a) , it precludes litigants from obtaining and introducing material evidence, thereby preventing litigants from effectively presenting their claims before the trier of fact. Bartlett v. Danti, 503 A.2d 515, 1986 R.I. LEXIS 382 (R.I. 1986).

Board of Medical Review Investigations.

The Confidentiality of Health Care Information Act does not prevent the subpoenaing of a physician’s records of patient treatment during the investigation stages of a board of medical review inquiry into alleged unprofessional conduct. In re Board of Medical Review Investigation, 463 A.2d 1373, 1983 R.I. LEXIS 1042 (R.I. 1983).

Criminal Trials.

Since the Confidentiality of Health Care Information Act has been ruled unconstitutional, it cannot bar disclosure of records in sexual abuse proceedings. In re James A., 505 A.2d 1386, 1986 R.I. LEXIS 428 (R.I. 1986).

In a first-degree child abuse case, the trial justice did not err by requiring a licensed clinical social worker to testify about statements defendant made to her while seeking mental-health treatment because any privilege under the Confidentiality of Health Care Information Act, § 5-37.3-1 et seq., was rendered a nullity by § 40-11-11 , which unambiguously abrogated all privileges that might otherwise attach to communications between any professional person and his or her patient or client in situations involving known or suspected child abuse or neglect and any such privileges could not justify a failure to give or accept evidence in any judicial proceeding relating to child abuse or neglect. State v. Lefebvre, 198 A.3d 521, 2019 R.I. LEXIS 5 (R.I. 2019).

Grand Jury Investigations.

The patient-physician privilege created by the Confidentiality of Health Care Information Act, §§ 5-37.3-1 5-37.3-10 , cannot prevent a grand jury investigating Medicaid fraud from subpoenaing patients’ records. In re Grand Jury Investigation, 441 A.2d 525, 1982 R.I. LEXIS 1166 (R.I. 1982).

In light of the supreme court’s mandate for a judicial determination of relevancy sufficient to overcome the statutory presumption in favor of confidentiality of healthcare information in instances in which a patient moves to quash a subpoena pursuant to § 5-37.3-6.1 , that court was satisfied that questions relative to the discoverability of confidential healthcare communications pursuant to this section, that are of necessity included within a patient’s healthcare information records, would be fully litigated in the first instance in the lower court, with an opportunity to be heard being afforded prior to the issuing of process for any confidential healthcare information. In re Grand Jury Subpoena, 748 A.2d 821, 2000 R.I. LEXIS 70 (R.I. 2000).

Waiver.

This section gives a patient the opportunity to prevent his physician from testifying, but does not entitle a patient to call the physician as a witness or to cross-examine the physician without objecting to any of the physician’s testimony, and then to bring a separate suit alleging that the physician violated a duty of confidentiality by testifying. A party who presents or fails to object to testimony of an allegedly privileged nature waives whatever privilege might have existed as to that testimony. Jordan v. Kelly, 728 F.2d 1, 1984 U.S. App. LEXIS 25538 (1st Cir. 1984).

Criminal defendant waived right to assert confidentiality of his medical records containing information as to his blood-alcohol level by testifying that he was “in full possession of his faculties” and sober. State v. Boss, 490 A.2d 34, 1985 R.I. LEXIS 468 (R.I. 1985).

Trial justice did not err when he allowed into evidence the hospital records pertaining to the defendant’s physical condition in regard to his blood-alcohol level, where the defendant had previously testified he was sober. State v. Boss, 490 A.2d 34, 1985 R.I. LEXIS 468 (R.I. 1985).

In a prosecution for sexual abuse, the trial court did not err in refusing to grant the defendant broad access to the victim’s psychotherapy records on the alleged grounds that the victim had waived her psychotherapist-patient privilege by testifying about her discussions of the abuse with her doctor. The trial court’s in camera review of the privileged information struck the requisite balance between the defendant’s constitutional right to effective cross-examination and the victim’s right to confidentiality. A determination by the trial court that the victim’s psychotherapy records were irrelevant rendered unnecessary any consideration of whether the psychotherapist-patient privilege had been waived. State v. Kholi, 672 A.2d 429, 1996 R.I. LEXIS 41 (R.I. 1996).

5-37.3-6.1. Court proceedings — Confidential healthcare information.

  1. Except as provided in § 5-37.3-6 , a healthcare provider or custodian of healthcare information may disclose confidential healthcare information in a judicial proceeding if the disclosure is pursuant to a subpoena and the provider or custodian is provided written certification by the party issuing the subpoena that:
    1. A copy of the subpoena has been served by the party on the individual whose records are being sought on or before the date the subpoena was served, together with a notice of the individual’s right to challenge the subpoena; or, if the individual cannot be located within this jurisdiction, that an affidavit of that fact is provided; and
    2. Twenty (20) days have passed from the date of service on the individual and within that time period the individual has not initiated a challenge; or
    3. Disclosure is ordered by a court after challenge.
  2. Within twenty (20) days after the date of service of a subpoena, an individual or his or her authorized representative may file a motion to quash the subpoena in the court in which the case is pending or, if no case is pending, in superior court. A copy of the motion to quash shall be served by the movant upon the party issuing the subpoena in accordance with the rules of civil procedure.
  3. The party issuing the subpoena may file with the court such papers, including affidavits and other sworn documents, as sustain the validity of the subpoena. The movant may file with the court reply papers in response to the issuing party’s filing. The court, upon receipt of these papers, may proceed in camera. The court may conduct any proceedings as it deems appropriate to rule on the motion, but shall endeavor to expedite its determination.
  4. The court shall grant a motion to quash unless the requesting party can demonstrate that there is reasonable ground to believe the information being sought is relevant to the proceedings, and the need for the information clearly outweighs the privacy interest of the individual.
  5. In determining whether the need for information clearly outweighs the privacy of the individual, the court shall consider:
    1. The particular purpose for which the information was collected;
    2. The individual’s reasonable expectation of privacy in the information;
    3. The degree to which disclosure of the information would embarrass, injure, or invade the privacy of the individual;
    4. The effect of the disclosure on the individual’s future health care;
    5. The importance of the information to the lawsuit or proceeding; and
    6. Whether the information is available from another source, including Rule 35 of the Superior Court Rules of Civil Procedure.
  6. If the court determines that a subpoena should issue, the information shall not be disclosed for any other purpose except as authorized by this chapter.
  7. Nothing contained in this section shall be construed to bar a healthcare provider or custodian of healthcare information from filing a motion to quash a subpoena for this information in accordance with the rules of civil procedure.

History of Section. P.L. 1996, ch. 248, § 3; P.L. 1996, ch. 266, § 3.

NOTES TO DECISIONS

Appeals.

Although the denial of a witness’s motion to quash a subpoena seeking her medical and psychiatric records was interlocutory, the order ended her stake in the litigation, and the consequences of the order were imminent and irreparable, because the confidential nature of the documents would be irremediably breached; therefore, the order could be appealed. DePina v. State, 79 A.3d 1284, 2013 R.I. LEXIS 160 (R.I. 2013).

Balancing Test.

Trial justice did not err in denying defendant’s motion to suppress his blood-alcohol-level-test results, as the requirements of R.I. Gen. Laws § 5-37.3-6.1 were satisfied where defendant had several hearings on the matter and conceded the satisfaction of the mandatory 20-day notice period was not an issue after the trial justice granted a continuance of defendant’s motion to quash the subpoena. State v. Santos, 996 A.2d 647, 2010 R.I. LEXIS 82 (R.I. 2010).

Defendant, convicted of child molestation, was not prejudiced by his alleged lack of access to the victim’s hospital records, as the trial justice conducted an in camera review of the records and, after performing the balancing test required by R.I. Gen. Laws § 5-37.3-6.1(d) and (e), properly found that any perceived need for the information contained therein did not clearly outweigh the victim’s privacy interest. State v. Burnham, 58 A.3d 889, 2013 R.I. LEXIS 14 (R.I. 2013).

Response to Subpoenas.

Although confidential healthcare information about a person can be subject to compulsory legal process without first obtaining the person’s consent, healthcare entities that are subpoenaed to bring the records to a judicial proceeding are not thereby authorized to disclose the records or the information within to any party or person other than the court. In this case, by not complying with § 9-17-5 governing responses to subpoenas, the pharmacy violated the provisions of this chapter. Washburn v. Rite Aid Corp., 695 A.2d 495, 1997 R.I. LEXIS 203 (R.I. 1997).

Because the pharmacy is not a qualified “healthcare facility,” it is not entitled to take advantage of the provisions of § 9-19-39 which allows a qualified healthcare facility to respond to a subpoena for healthcare records by certified mail. Washburn v. Rite Aid Corp., 695 A.2d 495, 1997 R.I. LEXIS 203 (R.I. 1997).

Notice provisions of this section requiring that a grand jury notify a patient that his or her medical records have been subpoenaed by the grand jury do not violate the grand jury secrecy requirements of Rule 6(e) of the Superior Court Rules of Criminal Procedure. In re Doe Grand Jury Proceedings, 717 A.2d 1129, 1998 R.I. LEXIS 274 (R.I. 1998).

In light of the supreme court’s mandate for a judicial determination of relevancy sufficient to overcome the statutory presumption in favor of confidentiality of healthcare information in instances in which a patient moves to quash a subpoena pursuant to this section, the court was satisfied that questions relative to the discoverability of confidential healthcare communications pursuant to § 5-37.3-6 , that are of necessity included within a patient’s healthcare information records, would be fully litigated in the first instance in the lower court, with an opportunity to be heard being afforded prior to the issuing of process for any confidential healthcare information. In re Grand Jury Subpoena, 748 A.2d 821, 2000 R.I. LEXIS 70 (R.I. 2000).

Witness’s medical, psychiatric, and psychological records constituted “confidential healthcare information” under R.I. Gen. Laws § 5-37.3-3(3)(ii) ; therefore, although the trial court properly conducted an in camera review as provided in R.I. Super. Ct. R. Civ. P. 26 , the trial court erred in failing to weigh the applicant’s need for the information against the privacy interest of the witness, as required by R.I. Gen. Laws § 5-37.3-6.1(d) and (e). DePina v. State, 79 A.3d 1284, 2013 R.I. LEXIS 160 (R.I. 2013).

5-37.3-6.2. Legislative or administrative proceedings.

Except as provided in § 5-37.3-6(b) , confidential healthcare information and confidential healthcare communications are not subject to compulsory legal process in any legislative or administrative proceedings, and a patient or his or her authorized representative has the right to refuse to disclose, and to prevent a witness from disclosing, his or her confidential healthcare information in these proceedings.

History of Section. P.L. 1996, ch. 248, § 3; P.L. 1996, ch. 266, § 3.

5-37.3-6.3. Exceptions.

  1. Nothing in this chapter shall be construed to interfere with the rights to confrontation and compulsory process secured to a defendant in a criminal prosecution pursuant to the state and federal constitutions.
  2. This chapter shall not be construed to interfere with any federal laws or regulations that provide more extensive protection than provided in this chapter for the confidentiality of healthcare information.

History of Section. P.L. 1996, ch. 248, § 3; P.L. 1996, ch. 266, § 3.

5-37.3-7. Medical peer-review boards.

  1. Notwithstanding other provisions of this chapter, healthcare providers may make confidential healthcare information available to medical peer-review boards without authorization.
  2. Confidential healthcare information before a medical peer-review board shall remain strictly confidential, and any person found guilty of the unlawful disclosure of that information shall be subject to the penalties provided in this chapter.
  3. Except as provided in this section, the proceedings and records of medical peer-review boards shall not be subject to discovery or introduction into evidence. No person who was in attendance at a meeting of that board shall be permitted or required to testify as to any matters presented during the proceedings of that board or as to any findings, recommendations, evaluations, opinions, or other actions of that board or any members of the board. Confidential healthcare information discoverable or admissible from original sources shall not be construed as immune from discovery or use in any proceeding merely because that information was presented during proceedings before that board, nor is a member of that board or other person appearing before it to be prevented from testifying as to matters within his or her knowledge and in accordance with the other provisions of this chapter, but that witness cannot be questioned about his or her testimony or other proceedings before that medical peer-review board or about opinions formed by him or her as a result of those proceedings.
  4. The provisions of subsection (c) limiting discovery and testimony shall not apply in any legal action brought by a medical peer-review board to restrict or revoke a physician’s hospital staff privilege, or his or her license to practice medicine, or to cases where a member of the medical peer-review board or the legal entity that formed this board or within which that board operates is sued for actions taken by that board; provided, that in this legal action, personally identifiable confidential healthcare information shall not be used without written authorization of the person or his or her authorized representative or upon court order.
  5. Nothing in this chapter shall limit the authority, which may be provided by law, of the board of medical licensure and discipline to require a medical peer-review board to report to it any disciplinary actions or recommendations of that board, or to transfer to it records of that board’s proceedings or actions, including confidential medical information, or restrict or revoke a physician’s license to practice medicine; provided, that in this legal action, personally identifiable confidential healthcare information shall not be used without written authorization of the person or his or her authorized representative or upon court order.
  6. No member of a medical peer-review board, nor the legal entity that formed or within which that board operates nor any person providing information to that board, shall be criminally or civilly liable for the performance of any duty, function, or activity of that board or based upon providing information to that board, provided this action is without malice and is based upon a reasonable belief that the action is warranted.

History of Section. P.L. 1978, ch. 297, § 1; P.L. 1986, ch. 301, § 8.

NOTES TO DECISIONS

Applicability.

If a treating physician erred in failing to order a test, that may have given rise to a negligence claim, but it did not establish a basis for a claim under the Emergency Medical Treatment and Active Labor Act (EMTALA), 42 USCS § 1395dd; thus, testimony from a hospital director as to whether the physician breached the standard of care was relevant only to a malpractice claim, and as such, it was protected by Rhode Island’s peer-review privilege set forth at R.I. Gen. Laws §§ 23-17-25(a) and 5-37.3-7(c) . Bennett v. Kent County Mem. Hosp., 623 F. Supp. 2d 246, 2009 U.S. Dist. LEXIS 49535 (D.R.I. 2009).

Discovery.

In a medical malpractice suit, a trial justice did not abuse her discretion in ruling that the transcript of a hospital committee meeting was not protected by the peer-review privilege since the trial justice made a proper distinction between a doctor’s bedside manner and the actual medical care that a doctor administered in ruling that the transcript was not privileged. Pastore v. Samson, 900 A.2d 1067, 2006 R.I. LEXIS 111 (R.I. 2006).

In a medical malpractice suit, a hospital’s one-page report summarizing a meeting pertaining to whether a doctor possibly failed to respond in a timely and appropriate manner to a patient who needed treatment in the emergency room which contained a list of doctors in attendance, a list summarizing key items discussed in the meeting, and a list of actions taken, was not privileged so long as it was redacted to cloak the summary of key items discussed in the meeting. Pastore v. Samson, 900 A.2d 1067, 2006 R.I. LEXIS 111 (R.I. 2006).

R.I. Gen. Laws § 23-17-25(a) and R.I. Gen. Laws § 5-37.3-7(c) do not require a plaintiff to obtain access to information from its original source. Pastore v. Samson, 900 A.2d 1067, 2006 R.I. LEXIS 111 (R.I. 2006).

Subpoena of Physician’s Record.

The Confidentiality of Health Care Information Act does not prevent the subpoenaing of a physician’s records of patient treatment during the investigation stages of a board of medical review inquiry into alleged unprofessional conduct. In re Board of Medical Review Investigation, 463 A.2d 1373, 1983 R.I. LEXIS 1042 (R.I. 1983).

5-37.3-8. Appointment of guardian ad litem for incompetent persons.

Whenever healthcare information subject to this chapter is relevant to a criminal proceeding and the patient to whom it pertains is incompetent due to a physical or mental incapacity and has no authorized representative, the court shall appoint a guardian ad litem for the patient who shall review the information and determine whether it is in the best interest of the patient to authorize disclosure of that information.

History of Section. P.L. 1982, ch. 356, § 3.

5-37.3-9. Penalties — Attorney’s fees for violations.

  1. Civil Penalties.  Anyone who violates the provisions of this chapter may be held liable for actual and exemplary damages.
  2. Criminal Penalties.  Anyone who intentionally and knowingly violates the provisions of this chapter shall, upon conviction, be fined not more than one thousand dollars ($1,000), or imprisoned for not more than six (6) months, or both.
  3. Commission of Crime.  The civil and criminal penalties in this section shall also be applicable to anyone who obtains confidential healthcare information through the commission of a crime.
  4. Attorney’s Fees.  Attorney’s fees may be awarded, at the discretion of the court, to the successful party in any action under this chapter.

History of Section. P.L. 1978, ch. 297, § 1; G.L. 1956, § 5-37.3-8 ; P.L. 1982, ch. 356, § 1.

NOTES TO DECISIONS

Causes of Action.

The plaintiff’s declaratory judgment action for a violation of the Confidentiality of Health Care Information Act was properly dismissed; declaratory judgment is not the proper vehicle to litigate an alleged statutory violation which entails criminal and civil penalties such as this Act. Chase v. Mousseau, 448 A.2d 1221, 1982 R.I. LEXIS 985 (R.I. 1982).

Although the plaintiff’s action for declaratory judgment for a violation of this Act was improper, her action for money damages was proper, and, pursuant to the liberal joinder provisions in Rule 18 of the Superior Court Rules of Civil Procedure and the “substantial justice” guideline of Super. Ct. R. Civ. P. 8(f), should not have been dismissed. Chase v. Mousseau, 448 A.2d 1221, 1982 R.I. LEXIS 985 (R.I. 1982).

Evidentiary Hearing.

In a case in which plaintiff sought exemplary damages under R.I. Gen. Laws § 5-37.3-9(a) , the Supreme Court concluded that the case was on all fours with Palmisano v. Toth and that the trial justice was obligated to conduct an evidentiary hearing. At the evidentiary hearing, the parties would be afforded the opportunity to present evidence, examine witnesses, and to otherwise determine the viability of plaintiff’s claim for exemplary damages. Sherman v. Ejnes, 111 A.3d 371, 2015 R.I. LEXIS 42 (R.I. 2015).

5-37.3-10. Waivers void.

Any agreement purporting to waive the provisions of this chapter is declared to be against public policy and void.

History of Section. P.L. 1978, ch. 297, § 1; G.L. 1956, § 5-37.3-9 ; P.L. 1982, ch. 356, § 1.

5-37.3-11. Severability.

If any provision of this chapter is held by a court to be invalid, that invalidity shall not affect the remaining provisions of this chapter, and to this end the provisions of this chapter are declared severable.

History of Section. P.L. 1978, ch. 297, § 1; G.L. 1956, § 5-37.3-10 ; P.L. 1982, ch. 356, § 1.

5-37.3-12. Right to confidential communication of confidential healthcare information.

  1. As used in this section:
    1. “Confidential communications request” means a request by a insured individual or authorized representative covered under a health insurance policy that insurance communications containing confidential healthcare information be communicated to him or her at a specific mail or email address or specific telephone number, as designated by the insured individual or authorized representative.
    2. “Confidential healthcare information” shall have the same meaning as set forth in § 5-37.3-3 .
    3. “Health insurer” shall have the same meaning as “managed-care entity” as defined in § 5-37.3-3 .
    4. “Healthcare provider” shall have the same meaning as set forth in § 5-37.3-3.
    5. “Insured individual” means a covered individual under the policy and legally capable of consenting to the provisions of covered benefits.
    6. “Patient or authorized representative” shall have the same meaning as set forth in § 5-37.3-3.
  2. Notwithstanding any other law, and to the extent permitted by federal law, a health insurer shall take the following steps to further protect the confidentiality of an insured individual’s confidential healthcare information:
    1. A health insurer shall permit an insured individual or authorized representative to submit a confidential communications request form as described in subsection (d) of this section. A health insurer shall accommodate requests for communication in the form and format requested by the insured individual or authorized representative, if it is readily producible in the requested form and format. A health insurer shall permit that communications containing confidential healthcare information be communicated to the insured individual or authorized representative at a specific mail or email address or specific telephone number, as designated by the insured individual or authorized representative.
    2. A health insurer may require the insured individual or authorized representative to make a request for a confidential communication described in subsection (b)(1) of this section, in writing or by electronic transmission.
    3. The confidential communication request shall be valid until the insured individual or authorized representative submits a revocation of the request, or a new confidential communication request is submitted.
    4. For the purposes of this section, a confidential communications request must be implemented by the health insurer within ten (10) calendar days of the receipt of an electronic transmission or telephonic request or within ten (10) calendar days of receipt by first-class mail. The health insurer shall acknowledge receipt of the confidential communications request and advise the insured individual or authorized representative of the status of implementation of the request if an insured individual or authorized representative contacts the insurer.
  3. A health insurer shall not condition coverage on the waiver of rights provided in this section.
  4. All health insurers shall create a confidential communications request form that shall be easily readable and prominently displayed on the health insurer’s website.
  5. The department of health shall develop and disseminate to healthcare providers information on best practices relating to how providers can support insured individuals or authorized representatives requesting confidential communications including, but not limited to:
    1. Ensuring that healthcare providers and healthcare staff are aware and understand the requirements outlined in this section;
    2. Having hard-copy versions of the standardized confidential communications request form described in subsection (d) of this section, prominently displayed and available to insured individuals or authorized representatives; and
    3. Offering to submit the standardized confidential communications request form described in subsection (d) of this section that has been completed by an insured individual or authorized representative to that insured individual’s health insurer.
  6. The office of the health insurance commissioner and the department of health may adopt reasonable rules and regulations for the implementation and administration of this chapter.

History of Section. P.L. 2021, ch. 213, § 1, effective January 1, 2022; P.L. 2021, ch. 212, § 1, effective January 1, 2022.

Compiler's Notes.

P.L. 2021, ch. 212, § 1, and P.L. 2021, ch. 213, § 1 enacted identical versions of this section.

Delayed Effective Dates.

P.L. 2021, ch. 212, § 2, provides that this section takes effect on January 1, 2022.

P.L. 2021, ch. 213, § 2, provides that this section takes effect on January 1, 2022.

Chapter 37.4 Intractable Pain Treatment

5-37.4-1. Title.

This chapter shall be known and may be cited as the “Intractable Pain Treatment Act.”

History of Section. P.L. 1997, ch. 83, § 1.

5-37.4-2. Definitions.

For purposes of this chapter:

  1. “Chronic intractable pain” means pain that is: excruciating; constant; incurable, and of such severity that it dominates virtually every conscious moment; and/or produces mental and physical debilitation. A diagnosis and written documentation of chronic intractable pain made by a physician licensed in the state of Rhode Island specializing in pain management, oncology, or similar specialty defined in regulations shall constitute proof that the patient suffers from chronic intractable pain.
  2. “Director” means the director of the department of health of the state of Rhode Island.
  3. “Intractable pain” means a pain state that persists beyond the usual course of an acute disease or healing of an injury or results from a chronic disease or condition that causes continuous or intermittent pain over a period of months or years. Unless the context clearly indicates otherwise, the term intractable pain includes chronic intractable pain.
  4. “Practitioner” means healthcare professionals licensed to distribute, dispense, or administer controlled substances in the course of professional practice as defined in § 21-28-1.02(41) .
  5. “Therapeutic purpose” means the use of controlled substances for the treatment of pain in appropriate doses as indicated by the patient’s medical record. Any other use is nontherapeutic.

History of Section. P.L. 1997, ch. 83, § 1; P.L. 2002, ch. 46, § 1; P.L. 2005, ch. 93, § 2; P.L. 2005, ch. 104, § 2; P.L. 2006, ch. 216, § 2; P.L. 2021, ch. 37, § 1, effective June 2, 2021; P.L. 2021, ch. 38, § 1, effective June 2, 2021.

Compiler's Notes.

P.L. 2021, ch. 37, § 1, and P.L. 2021, ch. 38, § 1 enacted identical amendments to this section.

5-37.4-3. Controlled substances.

  1. A practitioner may prescribe, administer, or dispense controlled substances not prohibited by law for a therapeutic purpose to a person diagnosed and treated by a practitioner for a condition resulting in intractable pain, if this diagnosis and treatment has been documented in the practitioner’s medical records. No practitioner shall be subject to disciplinary action by the board solely for prescribing, administering, or dispensing controlled substances when prescribed, administered, or dispensed for a therapeutic purpose for a person diagnosed and treated by a practitioner for a condition resulting in intractable pain, if this diagnosis and treatment has been documented in the practitioner’s medical records.
  2. The provisions of subsection (a) of this section do not apply to those persons being treated by a practitioner for chemical dependency because of their use of controlled substances not related to the therapeutic purposes of treatment of intractable pain.
  3. The provisions of subsection (a) of this section provide no authority to a practitioner to prescribe, administer, or dispense controlled substances to a person the practitioner knows or should know to be using the prescribed, administered, or dispensed controlled substance nontherapeutically.
  4. Drug dependency or the possibility of drug dependency in and of itself is not a reason to withhold or prohibit prescribing, administering, or dispensing controlled substances for the therapeutic purpose of treatment of a person for intractable pain, nor shall dependency relating solely to this prescribing, administering, or dispensing subject a practitioner to disciplinary action by the director.
  5. In coordination with §§ 21-28-3.20 and 21-28-3.20 .1, the director of health may promulgate rules and regulations necessary to effectuate the purpose of this chapter and ensure that patients with intractable or chronic intractable pain are treated or referred to an appropriate specialist.
  6. Nothing in this section shall be construed to prohibit a practitioner or pharmacist from denying a prescription based on their best clinical judgment.
  7. Nothing in this section shall deny the right of the director to deny, revoke, or suspend the license of any practitioner or discipline any practitioner who:
    1. Prescribes, administers, or dispenses a controlled substance that is nontherapeutic in nature or nontherapeutic in the manner in which it is prescribed, administered, or dispensed, or fails to keep complete and accurate ongoing records of the diagnosis and treatment plan;
    2. Fails to keep complete and accurate records of controlled substances received, prescribed, dispensed, and administered, and disposal of drugs as required by law or of controlled substances scheduled in the Comprehensive Drug Abuse Prevention and Control Act of 1970, 21 U.S.C. § 801 et seq. A practitioner shall keep records of controlled substances received, prescribed, dispensed and administered, and disposal of these drugs shall include the date of receipt of the drugs, the sale or disposal of the drugs by the practitioner, the name and address of the person receiving the drugs, and the reason for the disposal or the dispensing of the drugs to the person;
    3. Writes false or fictitious prescriptions for controlled substances as prohibited by law, or for controlled substances scheduled in the Comprehensive Drug Abuse Prevention and Control Act of 1970, 21 U.S.C § 801 et seq.; or
    4. Prescribes, administers, or dispenses in a manner which is inconsistent with provisions of the law, or the Comprehensive Drug Abuse Prevention and Control Act of 1970, 21 U.S.C. § 801 et seq., any controlled substance.
  8. A practitioner may administer a controlled substance prescribed by a practitioner and not prohibited by law for a therapeutic purpose to a person diagnosed and treated by a practitioner for a condition resulting in intractable pain, if this diagnosis and treatment has been documented in the practitioner’s medical records. No practitioner shall be subject to disciplinary action by the director solely for administering controlled substances when prescribed or dispensed for a therapeutic purpose for a person diagnosed and treated by a practitioner for a condition resulting in intractable pain, if this diagnosis and treatment has been documented in the practitioner’s medical records of the patient.

History of Section. P.L. 1997, ch. 83, § 1; P.L. 1999, ch. 354, § 8; P.L. 2002, ch. 46, § 1; P.L. 2007, ch. 345, § 1; P.L. 2007, ch. 448, § 1; P.L. 2021, ch. 37, § 1, effective June 2, 2021; P.L. 2021, ch. 38, § 1, effective June 2, 2021.

Compiler's Notes.

P.L. 2021, ch. 37, § 1, and P.L. 2021, ch. 38, § 1 enacted identical amendments to this section.

Chapter 37.5 Lyme Disease Diagnosis and Treatment

5-37.5-1. Short title.

This chapter shall be known and may be cited as the “Lyme Disease Diagnosis and Treatment Act.”

History of Section. P.L. 2002, ch. 159, § 1; P.L. 2002, ch. 160, § 1.

5-37.5-2. Preamble.

WHEREAS, The Governor’s Commission on Lyme Disease and Other Tick-Borne Diseases (the “Commission”) was formed by executive order in 2002; and

WHEREAS, The General Assembly recognizes the negative impact of Lyme disease on Rhode Islanders; and

WHEREAS, Rhode Island has the second highest number of reported Lyme disease cases as a percentage of population in the United States; and

WHEREAS, The commission and the general assembly held hearings and reviewed the medical literature to gain an understanding of the concerns of citizens and the medical community about Lyme disease diagnosis, treatment, and prevention; and

WHEREAS, Citizens of Rhode Island diagnosed with chronic Lyme disease experience great difficulty in being diagnosed and treated thereby impairing their access to medical care; and

WHEREAS, The lack of insurance coverage for diagnosis and long-term antibiotic therapies is a major barrier to access to medical care for persons with symptoms compatible with chronic Lyme disease; and

WHEREAS, Physicians whose practices are devoted to treating chronic Lyme-disease patients, and who continue to provide treatment if they feel such treatment is medically necessary, have noted significant improvement in the condition of their patients; and

WHEREAS, There is substantial evidence that considerable scientific controversy surrounds the diagnosis and treatment of Lyme disease and other tick-borne illnesses; and

WHEREAS, Laboratory tests for Lyme disease are not definitive and consensus guidelines for diagnosis and treatment of chronic Lyme disease have not been developed; and

WHEREAS, Some physicians feel threatened by insurers and licensing boards for their choices among possible therapies for their patients; and

WHEREAS, The commission and this general assembly recommend that legislation be adopted that promotes access to medical care for persons with chronic Lyme disease in Rhode Island; and

Now, therefore, it is enacted by the general assembly as follows:

History of Section. P.L. 2002, ch. 159, § 1; P.L. 2002, ch. 160, § 1.

5-37.5-3. Definitions.

For purposes of the chapter:

  1. “Board” means the Rhode Island board of medical licensure and discipline.
  2. “Long-term antibiotic therapy” means administration of oral, intramuscular, or intravenous antibiotics, singly or in combination, for periods of greater than four (4) weeks.
  3. “Lyme disease” means the clinical diagnosis by a physician of the presence in a patient of signs and symptoms compatible with acute infection with Borrelia burgdorferi, or with late-stage or chronic infection with Borrelia burgdorferi, or with complications related to such an infection. “Lyme disease” includes infection that meets the surveillance criteria set forth by the U.S. Centers for Disease Control and Prevention (CDC), but also includes other acute and chronic manifestations of such an infection as determined by the physician.
  4. “Physician” means persons licensed pursuant to chapter 37 of this title by the board.
  5. “Therapeutic purpose” means the use of antibiotics to control a patient’s symptoms determined by the physician as reasonably related to Lyme disease and its sequelae.

History of Section. P.L. 2002, ch. 159, § 1; P.L. 2002, ch. 160, § 1.

5-37.5-4. Long-term antibiotic treatment.

  1. A physician may prescribe, administer, or dispense antibiotic therapy for therapeutic purpose to a person diagnosed with and having symptoms of Lyme disease if this diagnosis and treatment plan has been documented in the physician’s medical record for that patient. No physician is subject to disciplinary action by the board solely for prescribing, administering, or dispensing long-term antibiotic therapy for a therapeutic purpose for a patient clinically diagnosed with Lyme disease, if this diagnosis and treatment plan has been documented in the physician’s medical record for that patient.
  2. Nothing in this section shall deny the right of the board to deny, revoke, or suspend the license of any physician or discipline any physician who prescribes, administers, or dispenses long-term antibiotic therapy for a nontherapeutic purpose, or who fails to monitor the ongoing care of a patient receiving long-term antibiotic therapy, or who fails to keep complete and accurate ongoing records of the diagnosis and treatment of a patient receiving long-term antibiotic therapy.

History of Section. P.L. 2002, ch. 159, § 1; P.L. 2002, ch. 160, § 1.

5-37.5-5. Mandatory coverage for certain Lyme disease treatments.

Every individual or group hospital or medical-expense insurance policy or individual or group hospital or medical-services plan contract delivered, issued for delivery, or renewed in this state on or after January 1, 2004, shall provide for Lyme disease treatment as provided in chapters 18, 19, 20, and 41 of title 27.

History of Section. P.L. 2003, ch. 113, § 2; P.L. 2003, ch. 114, § 2; P.L. 2004, ch. 34, § 1; P.L. 2004, ch. 35, § 1.

5-37.5-6. Lyme disease testing information disclosure.

  1. Every physician, or his/her in-office designee, who orders a laboratory test for the presence of Lyme disease shall provide to the patient or his/her legal representative the following information:

    “ACCORDING TO THE CENTERS FOR DISEASE CONTROL AND PREVENTION, AS OF 2011 LYME DISEASE IS THE SIXTH FASTEST GROWING DISEASE IN THE UNITED STATES.

    YOUR HEALTHCARE PROVIDER HAS ORDERED A LABORATORY TEST FOR THE PRESENCE OF LYME DISEASE FOR YOU. CURRENT LABORATORY TESTING FOR LYME DISEASE CAN BE PROBLEMATIC AND STANDARD LABORATORY TESTS OFTEN RESULT IN FALSE NEGATIVE RESULTS, AND IF DONE TOO EARLY, YOU MAY NOT HAVE PRODUCED ENOUGH ANTIBODIES TO BE CONSIDERED POSITIVE BECAUSE YOUR IMMUNE RESPONSE REQUIRES TIME TO DEVELOP ANTIBODIES. IF YOU ARE TESTED FOR LYME DISEASE AND THE RESULTS ARE NEGATIVE THIS DOES NOT NECESSARILY MEAN YOU DO NOT HAVE LYME DISEASE. IF YOU CONTINUE TO EXPERIENCE SYMPTOMS, YOU SHOULD CONTACT YOUR HEALTHCARE PROVIDER AND INQUIRE ABOUT THE APPROPRIATENESS OF RETESTING OR ADDITIONAL TREATMENT.”

  2. Physicians shall be immune from civil liability for the provision of the written information required by this section absent gross negligence or willful misconduct.

History of Section. P.L. 2014, ch. 495, § 1; P.L. 2014, ch. 508, § 1.

Chapter 37.6 Pain Assessment Act

5-37.6-1. Short title.

This chapter shall be known and may be cited as the “Pain Assessment Act.”

History of Section. P.L. 2002, ch. 331, § 1.

5-37.6-2. Findings.

The general assembly finds and declares that:

  1. Pain affects quality of life, job performance, and security;
  2. Nearly thirty percent (30%) of nursing home residents with daily pain were receiving no pain medication of any form;
  3. Pain untreated or under-treated adversely impacts the quality of life for patients;
  4. Up to ninety-five percent (95%) of terminally ill patients’ pain can be relieved with adequate pain management; and
  5. Too many Rhode Islanders are suffering and dying in needless pain.

History of Section. P.L. 2002, ch. 331, § 1.

5-37.6-3. Definitions.

As used in this chapter, the following terms have the following meanings:

  1. “Assessment of pain” means the act of assessing an unpleasant sensation occurring in varying degrees of severity as a consequence of injury, disease, or emotional disorder.
  2. “Director” means the director of the department of health.
  3. “Healthcare facilities” is defined in the same manner as in § 23-17-2 .
  4. “Healthcare provider” means any person licensed by this state to provide or lawfully providing healthcare services, including, but not limited to, a physician, dentist, optometrist, nurse, podiatrist, physical therapist, nurse practitioner, or physician’s assistant.
  5. “Person” means any individual, trust or estate, partnership, limited-liability corporation, corporation (including associations, joint stock companies, and insurance companies), state, or political subdivision or instrumentality of a state.
  6. “Regular basis” means a procedure done on a customary, usual, normal, orderly, even, or symmetrical schedule.

History of Section. P.L. 2002, ch. 331, § 1; P.L. 2005, ch. 410, § 4.

5-37.6-4. Pain assessment.

  1. Healthcare facilities and healthcare providers shall conduct an assessment of pain experienced by a patient on a regular basis.
  2. The assessment of pain shall be noted in the patient’s chart in a manner consistent with vital signs.

History of Section. P.L. 2002, ch. 331, § 1.

5-37.6-5. Regulations.

  1. Promulgation by department.  The director of the department shall promulgate regulations relating to the assessment of pain requirements of this chapter.
  2. Educational materials.  The director shall make available educational and informational materials concerning the assessment of pain to healthcare facilities and healthcare providers.

History of Section. P.L. 2002, ch. 331, § 1.

5-37.6-6. Enforcement.

The director of the department of health shall have the power to enforce the provisions of this chapter.

History of Section. P.L. 2002, ch. 331, § 1.

5-37.6-7. Penalty.

  1. Every person who shall willfully and continually violate the provisions of this chapter is subject to a fine up to one hundred dollars ($100) for a first violation and any other remedy provided for in the Rhode Island law.
  2. Every person who shall continuously violate this chapter is subject to a fine up to five hundred dollars ($500) for each subsequent violation in addition to any other remedy provided for in the Rhode Island law.

History of Section. P.L. 2002, ch. 331, § 1.

5-37.6-8. Severability.

If any provision of this chapter or any rule or regulation made under this chapter or the application of any provision of this chapter to any person or circumstance shall be held invalid by any court of competent jurisdiction, the remainder of the chapter, rule, or regulation and the application of the provision to other persons or circumstances shall not be affected by that invalidity. The invalidity of any section or sections or parts of any section of this chapter shall not affect the validity of the remainder of this chapter and to this end the provisions of the chapter are declared to be severable.

History of Section. P.L. 2002, ch. 331, § 1.

Chapter 37.7 Rhode Island Health Information Exchange Act of 2008

5-37.7-1. Short title.

This chapter shall be known and may be cited as the “Rhode Island Health Information Exchange Act of 2008.”

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2.

5-37.7-2. Statement of purpose.

The purpose of this chapter is to establish safeguards and confidentiality protections for the HIE in order to improve the quality, safety, and value of health care by promoting interoperability, enhancing electronic communication between providers, and supporting public health goals, while keeping confidential healthcare information secure.

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2; P.L. 2021, ch. 362, § 1, effective July 12, 2021; P.L. 2021, ch. 364, § 1, effective July 12, 2021.

Compiler's Notes.

P.L. 2021, ch. 362, § 1, and P.L. 2021, ch. 364, § 1 enacted identical amendments to this section.

5-37.7-3. Definitions.

As used in this chapter:

  1. “Authorized representative” means:
    1. A person empowered by the patient to assert or to waive confidentiality, or to disclose or authorize the disclosure of confidential information, as established by this chapter. That person is not, except by explicit authorization, empowered to waive confidentiality or to disclose or consent to the disclosure of confidential information; or
    2. A person appointed by the patient to make healthcare decisions on his or her behalf through a valid durable power of attorney for health care as set forth in § 23-4.10-2 ; or
    3. A guardian or conservator, with authority to make healthcare decisions, if the patient is decisionally impaired; or
    4. Another legally appropriate medical decision maker temporarily if the patient is decisionally impaired and no healthcare agent, guardian, or conservator is available; or
    5. If the patient is deceased, his or her personal representative or, in the absence of that representative, his or her heirs-at-law; or
    6. A parent with the authority to make healthcare decisions for the parent’s child; or
    7. A person authorized by the patient or his or her authorized representative to access their confidential healthcare information from the HIE, including family members or other proxies as designated by the patient, to assist the patient participant with the coordination of their care.
  2. “Business associate” means a business associate as defined by HIPAA.
  3. “Confidential healthcare information” means all information relating to a patient’s healthcare history, diagnosis, condition, treatment, or evaluation.
  4. “Coordination of care” means the process of coordinating, planning, monitoring, and/or sharing information relating to, and assessing a care plan for, treatment of a patient.
  5. “Data-submitting partner” means an individual, organization, or entity who or that has entered into a business associate agreement with the RHIO and submits a patient’s confidential healthcare information through the HIE.
  6. “Department of health” means the Rhode Island department of health.
  7. “Disclosure report” means a report generated by the HIE relating to the record of access to, review of, and/or disclosure of a patient’s confidential healthcare information received, accessed, or held by the HIE.
  8. “Electronic mobilization” means the capability to move confidential health information electronically between disparate healthcare information systems while maintaining the accuracy of the information being exchanged.
  9. “Emergency” means the sudden onset of a medical, mental, or substance use, or other condition manifesting itself by acute symptoms of severity (e.g., severe pain) where the absence of medical attention could reasonably be expected, by a prudent layperson, to result in placing the patient’s health in serious jeopardy, serious impairment to bodily or mental functions, or serious dysfunction of any bodily organ or part.
  10. “Healthcare provider” means any person or entity licensed by this state to provide or lawfully providing healthcare services, including, but not limited to, a physician, hospital, intermediate-care facility or other healthcare facility, dentist, nurse, optometrist, podiatrist, physical therapist, psychiatric social worker, pharmacist, or psychologist, and any officer, employee, or agent of that provider acting in the course and scope of his or her employment or agency related to or supportive of healthcare services.
  11. “Healthcare services” means acts of diagnosis, treatment, medical evaluation, referral, or counseling, or any other acts that may be permissible under the healthcare licensing statutes of this state.
  12. “Health Information Exchange” or “HIE” means the technical system operated, or to be operated, by the RHIO under state authority allowing for the statewide electronic mobilization of confidential healthcare information, pursuant to this chapter.
  13. “Health plan” means an individual plan or a group plan that provides, or pays the cost of, healthcare services for a patient.
  14. “HIE Advisory Commission” means the advisory body established by the department of health in order to provide community input and policy recommendations regarding the use of the confidential healthcare information of the HIE.
  15. “HIPAA” means the Health Insurance Portability and Accountability Act of 1996, as amended.
  16. “Opt out” means the ability of a patient to choose to not have their confidential healthcare information disclosed from HIE in accordance with § 5-37.7-7 .
  17. “Patient ” means a person who receives healthcare services from a provider participant.
  18. “Provider participant” means a pharmacy, laboratory, healthcare provider, or health plan who or that is providing healthcare services or pays for the cost of healthcare services for a patient and/or is submitting and/or accessing healthcare information through the HIE and has executed an electronic and/or written agreement regarding disclosure, access, receipt, retention, or release of confidential healthcare information from the HIE.
  19. “Regional health information organization” or “RHIO” means the organization designated as the RHIO by the state to provide administrative and operational support to the HIE.

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2; P.L. 2016, ch. 67, § 1; P.L. 2016, ch. 71, § 1; P.L. 2021, ch. 362, § 1, effective July 12, 2021; P.L. 2021, ch. 364, § 1, effective July 12, 2021.

Compiler's Notes.

P.L. 2021, ch. 362, § 1, and P.L. 2021, ch. 364, § 1 enacted identical amendments to this section.

5-37.7-4. Use of the health information exchange.

  1. There shall be established a statewide HIE under state authority to allow for the electronic mobilization of confidential healthcare information in Rhode Island. Confidential healthcare information may only be accessed, released, or transferred from the HIE in accordance with this chapter.
  2. The state has an interest in encouraging use of the HIE by all interested parties, including, but not limited to, healthcare providers, patients, health plans, entities submitting information to the HIE, entities obtaining information from the HIE, and the RHIO.
  3. Except as provided in § 5-37.7-7(b) , patients shall have the choice to opt out of having their confidential healthcare information disclosed from the HIE through the process defined in regulations in accordance with § 5-37.7-5 .
  4. Provider participants must continue to maintain their own medical record meeting the documentation and other standards imposed by otherwise applicable law.
  5. The state agencies may submit to the HIE and/or receive from the HIE applicable confidential healthcare information for public health purposes.
  6. Nothing contained herein shall have an impact on the content of, or use or disclosure of, confidential healthcare information of patients that is held in locations other than the HIE. Nothing in this chapter shall be construed to limit, change, or otherwise affect entities’ rights to exchange confidential healthcare information in accordance with other applicable laws.
  7. The state hereby imposes on the HIE and the RHIO as a matter of state law, the obligation to maintain, and abide by the terms of, HIPAA-compliant business associate agreements, including, without limitation, the obligations to use appropriate safeguards to prevent use or disclosure of confidential healthcare information in accordance with HIPAA, other state and federal laws, and this chapter; not to use or disclose confidential healthcare information other than as permitted by HIPAA and this chapter; or to make any amendment to a confidential healthcare record that a provider participant so directs; and to respond to a request by a patient to make an amendment to the patient’s healthcare record.

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2; P.L. 2016, ch. 67, § 1; P.L. 2016, ch. 71, § 1; P.L. 2021, ch. 362, § 1, effective July 12, 2021; P.L. 2021, ch. 364, § 1, effective July 12, 2021.

Compiler's Notes.

P.L. 2021, ch. 362, § 1, and P.L. 2021, ch. 364, § 1 enacted identical amendments to this section.

5-37.7-5. Regulatory oversight.

  1. The department shall develop regulations regarding the confidentiality of patient information received, accessed, or held by the HIE and is authorized to promulgate other regulations as the department deems necessary or desirable to implement the provisions of this chapter, in accordance with the provisions set forth in chapter 17 of title 23 and chapter 35 of title 42.
  2. The department has exclusive jurisdiction over the HIE, except with respect to the jurisdiction conferred upon the attorney general in § 5-37.7-13 . This chapter shall not apply to any other private and/or public health information systems utilized within a healthcare provider or other organization that provides healthcare services.
  3. The department shall promulgate rules and regulations for the establishment of an HIE advisory commission. The HIE advisory commission, in consultation with the RHIO, will be responsible for recommendations relating to the department regarding the use of, and appropriate confidentiality protections for, the confidential healthcare information of the HIE. The commission members shall be subject to the advice and consent of the senate. The commission shall report annually to the department, and the report shall be made public.

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2; P.L. 2021, ch. 362, § 1, effective July 12, 2021; P.L. 2021, ch. 364, § 1, effective July 12, 2021.

Compiler's Notes.

P.L. 2021, ch. 362, § 1, and P.L. 2021, ch. 364, § 1 enacted identical amendments to this section.

5-37.7-6. Regional health information organization.

The RHIO shall, subject to and consistent with department regulations and contractual obligations it has with the state, be responsible for implementing recognized national standards for interoperability and all administrative, operational, and financial functions to support the HIE, including, but not limited to, implementing and enforcing policies for receiving, retaining, safeguarding, and disclosing confidential healthcare information as required by this chapter. The RHIO is deemed to be the steward of the confidential healthcare information for which it has administrative responsibility.

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2; P.L. 2021, ch. 362, § 1, effective July 12, 2021; P.L. 2021, ch. 364, § 1, effective July 12, 2021.

Compiler's Notes.

P.L. 2021, ch. 362, § 1, and P.L. 2021, ch. 364, § 1 enacted identical amendments to this section.

5-37.7-7. Disclosure.

  1. Except as provided in subsection (b), a patient or the patient’s authorized representative may opt out of having the patient’s confidential healthcare information disclosed from the HIE. Patients shall be notified of their right to opt out of having their confidential healthcare information disclosed from the HIE through the process provided by regulation in accordance with § 5-37.7-5 .
  2. The opt out does not apply to disclosures in the following situations:
    1. To a healthcare provider who believes, in good faith, that the information is necessary for diagnosis or treatment of that individual in an emergency; or
    2. To public health authorities in order to carry out their functions as described in this title and titles 21 and 23, and rules promulgated under those titles. These functions include, but are not restricted to: investigations into the causes of disease; the control of public-health hazards; enforcement of sanitary laws; investigation of reportable diseases; certification and licensure of health professionals and facilities; review of health care such as that required by the federal government and other governmental agencies; and mandatory reporting laws set forth in Rhode Island general laws; or
    3. To the RHIO in order for it to effectuate the operation and administrative oversight of the HIE; and
    4. To a health plan, if the information is necessary for care management of its plan members, or for quality and performance measure reporting.
  3. Notification and opt out procedures shall be developed in consultation with the HIE advisory commission and provided in regulations promulgated in accordance with § 5-37.7-5 . Provider participants who or that share data with the HIE shall notify their patients that data is being shared with the HIE to support the provision of care, and inform their patients about the ability to opt out. At a minimum, the notification shall contain the following information in a clear and concise manner:
    1. A statement that the patient’s provider is a provider participant in the HIE, and as such may share the patient’s confidential healthcare information through the HIE as permitted by this chapter and all applicable state and federal law.
    2. A statement that the patient may opt out of having their confidential healthcare information disclosed from the HIE except as provided pursuant to subsection (b) of this section.
    3. A statement that a patient’s choice to opt out of disclosing their confidential healthcare information from the HIE may be changed at any time.
    4. The method for opting out shall be provided by regulation in accordance with § 5-37.7-5 .
  4. Except as specifically provided by state or federal law or this chapter, a patient’s confidential healthcare information shall not be accessed by, given, sold, transferred, or in any way relayed from the HIE to any other person or entity.
  5. [Deleted by P.L. 2021, ch. 362, § 1 and P.L. 2021, ch. 364, § 1.]
  6. Confidential healthcare information received, disclosed, or held by the HIE shall not be subject to subpoena directed to the HIE or RHIO unless the following procedures have been completed: (i) The person seeking the confidential healthcare information has already requested and received the confidential healthcare information from the healthcare provider that was the original source of the information; and (ii) A determination has been made by the superior court, upon motion and notice to the HIE or RHIO and the parties to the litigation in which the subpoena is served, that the confidential healthcare information sought from the HIE is not available from another source and is either relevant to the subject matter involved in the pending action or is reasonably calculated to lead to the discovery of admissible evidence in such pending action. Any person issuing a subpoena to the HIE or RHIO pursuant to this section shall certify that such measures have been completed prior to the issuance of the subpoena.
  7. Nothing contained herein shall interfere with, or impact upon, any rights or obligations imposed by the Workers’ Compensation Act as contained in chapters 29 through 38 of title 28.
  8. Nothing contained herein shall prohibit a health plan from becoming a data-submitting partner. A data-submitting partner is not considered a managed-care entity or a managed-care contractor, and the HIE is not considered a regional or local medical information database pursuant to § 5-37.3-4 .

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2; P.L. 2016, ch. 67, § 1; P.L. 2016, ch. 71, § 1; P.L. 2021, ch. 362, § 1, effective July 12, 2021; P.L. 2021, ch. 364, § 1, effective July 12, 2021.

Compiler's Notes.

P.L. 2021, ch. 362, § 1, and P.L. 2021, ch. 364, § 1 enacted identical amendments to this section.

5-37.7-8. Security.

The HIE must be subject to at least the following security procedures:

  1. Authenticate the recipient of any confidential healthcare information disclosed by the HIE pursuant to this chapter pursuant to rules and regulations promulgated by the department;
  2. Limit authorized access to personally identifiable confidential healthcare information to persons having a need to know that information; additional employees or agents may have access to de-identified information;
  3. Identify an individual or individuals who have responsibility for maintaining security procedures for the HIE;
  4. Provide an electronic or written statement to each employee or agent as to the necessity of maintaining the security and confidentiality of confidential healthcare information, and of the penalties provided for in this chapter for the unauthorized access, release, transfer, use, or disclosure of this information; and
  5. Take no disciplinary or punitive action against any employee or agent for bringing evidence of violation of this chapter to the attention of any person.

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2; P.L. 2009, ch. 310, § 33; P.L. 2021, ch. 362, § 1, effective July 12, 2021; P.L. 2021, ch. 364, § 1, effective July 12, 2021.

Compiler's Notes.

P.L. 2021, ch. 362, § 1, and P.L. 2021, ch. 364, § 1 enacted identical amendments to this section.

5-37.7-9. Secondary disclosure.

Any confidential healthcare information obtained by a provider participant pursuant to this chapter may be further disclosed by such provider participant with or without authorization of the patient participant to the same extent that such information may be disclosed pursuant to existing state and federal law, without regard to the source of the information.

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2.

5-37.7-10. Patient’s rights.

Pursuant to this chapter, a patient who has his or her confidential healthcare information included in the HIE shall have the following rights:

  1. To obtain a copy of his or her confidential healthcare information from the HIE;
  2. To obtain a copy of the disclosure report pertaining to his or her confidential healthcare information;
  3. To be notified as required by chapter 49.3 of title 11, the Rhode Island identity theft protection act, of a breach of the security system of the HIE;
  4. To change his or her opt out status in the HIE in accordance with rules and regulations promulgated by the department;
  5. To request to amend his or her own information through the provider participant;
  6. To request his or her confidential healthcare information from the HIE be disclosed to an authorized representative; and
  7. To request his or her confidential healthcare information from the HIE be disclosed to healthcare providers who are not provider participants as defined by this chapter.

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2; P.L. 2009, ch. 310, § 33; P.L. 2016, ch. 67, § 1; P.L. 2016, ch. 71, § 1; P.L. 2019, ch. 308, art. 1, § 18; P.L. 2021, ch. 362, § 1, effective July 12, 2021; P.L. 2021, ch. 364, § 1, effective July 12, 2021.

Compiler's Notes.

P.L. 2021, ch. 362, § 1, and P.L. 2021, ch. 364, § 1 enacted identical amendments to this section.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-37.7-11. Immunity.

Any healthcare provider who or that relies in good faith upon any information provided through the HIE in his, her, or its treatment of a patient, shall be immune from any criminal or civil liability arising from any damages caused by such good faith reliance. This immunity does not apply to acts or omissions constituting negligence or reckless, wanton, or intentional misconduct.

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2.

5-37.7-12. Reconciliation with other authorities.

  1. This chapter shall only apply to the HIE system, and does not apply to any other private and/or public health information systems utilized in Rhode Island, including other health information systems utilized within or by a healthcare facility or organization.
  2. As this chapter provides extensive protection with regard to access to and disclosure of confidential healthcare information by the HIE, it supplements, with respect to the HIE only, any less stringent disclosure requirements, including, but not limited to, those contained in chapter 37.3 of this title, the Health Insurance Portability and Accountability Act (HIPAA) and regulations promulgated thereunder, and any other less stringent federal or state law.
  3. This chapter shall not be construed to interfere with any other federal or state laws or regulations that provide more extensive protection than provided in this chapter for the confidentiality of healthcare information.

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2; P.L. 2010, ch. 239, § 14; P.L. 2021, ch. 362, § 1, effective July 12, 2021; P.L. 2021, ch. 364, § 1, effective July 12, 2021.

Compiler’s Notes.

Section 23-11-9 , referred to in this section, was repealed by P.L. 2017, ch. 13, § 1, and P.L. 2017, ch. 25, § 1, effective June 19, 2017.

P.L. 2021, ch. 362, § 1, and P.L. 2021, ch. 364, § 1 enacted identical amendments to this section.

5-37.7-13. Penalties — Attorney’s fees for violations.

  1. Civil penalties.  Anyone who violates the provisions of this chapter may be held liable for actual and exemplary damages.
  2. Criminal penalties.  Anyone who intentionally and knowingly violates the provisions of this chapter shall, upon conviction, be fined not more than ten thousand dollars ($10,000) per patient, per violation, or imprisoned for not more than one year, or both.
  3. Commission of crime.  The civil and criminal penalties in this section shall also be applicable to anyone who obtains confidential healthcare information maintained under the provisions of this chapter through the commission of a crime.
  4. Attorney’s fees.  Attorney’s fees may be awarded at the discretion of the court, to the successful party in any action under this chapter.

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2.

5-37.7-14. Waivers void.

Any agreement purporting to waive the provisions of this chapter is declared to be against public policy and void.

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2.

5-37.7-15. Severability.

If any provision of this chapter is held by a court to be invalid, that invalidity shall not affect the remaining provisions of the chapter, and to this end the provisions of the chapter are declared severable.

History of Section. P.L. 2008, ch. 171, § 2; P.L. 2008, ch. 466, § 2.

Chapter 38 Automobile Body Repair Shops

5-38-1. “Automobile body shop” defined.

Automobile body shop, referred to as “auto body shop,” includes any establishment, garage, or work area enclosed within a building where repairs are made or caused to be made to motor vehicle bodies, including fenders, bumpers, chassis, and similar components of motor vehicle bodies as distinguished from the seats, motor, transmission, and other accessories for propulsion and general running gear of motor vehicles, except as provided in § 5-38-20 . No repairs performed by licensees under this chapter may be performed using mobile units, but may only be performed at a fixed, licensed location. This section shall not apply to glass repair and installations or paintless dent repairs.

History of Section. P.L. 1974, ch. 111, § 2; P.L. 2008, ch. 100, art. 33, § 1; P.L. 2009, ch. 126, § 1; P.L. 2009, ch. 151, § 1; P.L. 2009, ch. 310, § 1.

Comparative Legislation.

Dealers and repairers license:

Conn. Gen. Stat. § 14-51 et seq.

5-38-2. Duties of department of business regulation — Advisory board.

  1. The department of business regulation shall issue licenses as provided for in § 5-38-6 ; and shall authorize the transfer of licenses and the establishment of new offices for previously licensed auto body repair shops. In addition to licensing, the department’s oversight of auto repair shops shall be limited to:
    1. Acting on complaints from consumers and law enforcement officials; and
    2. Revoking, suspending, or taking other disciplinary actions with respect to facilities, corporations, or persons licensed under this chapter; and The department of business regulation shall adopt reasonable rules and regulations for the licensing of automobile body repair shops and schools for the instruction in automobile body repair.
  2. To establish within the department of business regulation, divisions of commercial licensing and regulation, the auto collision repair licensing advisory board consisting of nine (9) members appointed by the governor, consisting of the following, who shall serve a term of five (5) years:
    1. One president, or his or her designee, from an association of independent, non-networked, Rhode Island auto body shops;
    2. Two (2) representatives from the department of business regulation;
    3. One from the association of new car dealers;
    4. One from the insurance industry;
    5. One from law enforcement;
    6. One from the general public;
    7. One from the glass installation/repairers industry; and
    8. One from an association representing network or direct repair auto body repair shops.
  3. The board may adopt, amend, and rescind rules and regulations as necessary to carry out the provisions of this chapter with the prior approval of the director.
  4. The board may oversee investigations of conduct deemed unprofessional against any licensed facility, person, or corporation subject to this chapter and may hold hearings to determine whether the charges are substantiated or unsubstantiated.
  5. The board may recommend to the director of the department of business regulation that the director license qualified applicants.
  6. The board may meet at least once a month or more often upon the call of the chairperson or director of the department of business regulation.
  7. To recommend to the director of the department of business regulation to revoke, suspend, or take other disciplinary action with respect to facilities, corporations, or persons licensed under this chapter.
  8. To adopt and publish, with the prior approval of the director of the department of business regulation, rules of procedure and other regulations in accordance with the administrative procedure act, chapter 35 of title 42.
  9. The board members shall receive no compensation.
  10. Following each monthly board meeting, the board may, if consistent with the public interest, submit any: (1) Unresolved issue reasonably related to its jurisdiction under this statute to the director of the department of business regulation for his or her review at his or her discretion; or (2) Seek a declaratory ruling pursuant to central management regulation 3 (“declaratory rulings and petitions from the director”) as to any unresolved issue within the scope of this statute.
  11. Board members shall continue to serve until their replacement is named.

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1979, ch. 349, § 8; P.L. 1980, ch. 226, § 19; P.L. 1983, ch. 253, § 4; P.L. 1985, ch. 181, art. 13, § 2; P.L. 1994, ch. 357, § 1; P.L. 1998, ch. 117, § 1; P.L. 2005, ch. 201, § 1; P.L. 2008, ch. 100, art. 33, § 1.

Cross References.

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

5-38-3. [Repealed.]

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1979, ch. 349, § 8; P.L. 1981, ch. 240, § 1; Repealed by P.L. 1985, ch. 181, art. 13, § 1, effective July 1, 1985.

Compiler’s Notes.

Former § 5-38-3 concerned meetings and compensation of members of the former auto body repair shop commission. That same Act makes the department of business regulation the regulatory authority as to automobile body repair shops. See § 5-38-2 .

5-38-4. Practices for which license is required.

  1. An annual license shall be issued to businesses, corporations, and persons meeting the qualifications set by the auto collision repair licensing advisory board and paying the required fees. Qualification shall be set by the auto collision repair licensing advisory board and approved by the director.
  2. No person, firm, or corporation shall engage within this state in the business of auto body repairing or painting or enter into contracts for the repairing, replacing, or painting of auto bodies or parts of auto bodies or advertise or represent in any form or manner that he, she, or it is an auto body shop unless that person, firm, or corporation possesses a license in full force and effect from the department of business regulation specifying that person, firm, or corporation as licensed to operate or conduct an auto body shop.
  3. This chapter applies to every new and used motor vehicle dealer as defined in § 31-1-19 , but does not apply to or require the obtaining of a license by persons, firms, or corporations whose business is or may be limited to the making or entering into contracts for the making of mechanical or electrical repairs or adjustments to motor vehicles.

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1985, ch. 181, art. 13, § 2; P.L. 1994, ch. 357, § 1.

5-38-5. Rules and regulations.

The auto collision repair licensing advisory board shall, with the director’s approval:

  1. Establish any rules, regulations, and procedures that it deems appropriate, and all those rules, regulations, and procedures constitute a public record.
  2. Establish standards for sanitary, hygienic, and healthful conditions of the work premises and facilities used by persons licensed by the board.
  3. Establish minimum requirements for the licenser of auto body repair shops.
  4. Establish minimum requirements for the certification of auto repair technicians, other than those whose work is limited to glass repair and/or replacement.
  5. Establish two (2) classifications of full-collision licensees based upon the following:
    1. Class A certification: To be eligible for Class A certification, a full-collision, licensed auto body repair facility must meet the following minimum requirements:
      1. Comply with all requirements for licensure promulgated by the department pursuant to subsections (1) through (4); and
      2. Be certified by at least one automobile manufacturer for the repair and refinishing of aluminum, high-strength steel, and other metal or alloy; and
      3. Ensure customer satisfaction by providing each customer with a written, limited-lifetime warranty that is valid against workmanship defects and maintain a system for documenting customer complaints and responses to service; and
      4. Provide evidence of certification of all technicians employed at the auto body repair facility by methods approved by the department regulations pursuant to subsection (4);
    2. Class B certification: To be eligible for Class B certification, a full-collision, licensed auto body repair facility must establish that it has met all of the requirements promulgated by the department pursuant to subsections (1) through (4).
    3. Class certification shall be issued to qualifying full-collision, licensed auto body repair facilities upon initial application for licensure and upon license renewal.
    4. Notwithstanding subsection (5)(iii), full-collision, licensed auto body repair facilities seeking Class A certification must apply to the department on or before December l, 2015; all Class A applications must include documentation evidencing automobile manufacturer certification pursuant to subsection (5)(i)(B). Resulting classification designations (A or B) must be issued on or before April 1, 2016, by the department. Any applicant requesting Class A certification must submit a three hundred dollar ($300) application fee.
    5. Any full-collision, licensed auto body repair facility that does not apply for certification on or before March 1, 2016, will be designated as a Class B full-collision, auto body repair facility.
    6. After initial issuance of class designation by the department, pursuant to subsection (5)(iv) of this section, a designated Class B auto body repair facility may apply for Class A certification at any time in a calendar year with an application fee of three hundred dollars ($300). The new classification, if any, resulting from a full-collision, licensed auto body repair facility’s application received prior to December 31 of any calendar year must be updated on the department’s listing of licensed auto body repair facilities for use by insurers in the auto-body labor rate survey pursuant to § 27-29-4.4 of the next calendar year.
    7. The auto collision repair licensing advisory board shall review the regulations promulgated under subsection (5) at least every two (2) years. If new regulations are promulgated as a result of a review by the board, licensees must be given reasonable time to comply with any new requirements of class designations.
    8. The department shall adopt such regulations necessary to carry out the provisions of this section on or before January 31, 2016.

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1979, ch. 349, § 8; P.L. 1985, ch. 181, art. 13, § 2; P.L. 1994, ch. 357, § 1; P.L. 2006, ch. 184, § 1; P.L. 2015, ch. 142, § 1; P.L. 2015, ch. 154, § 1.

5-38-6. Applications for licenses.

Application for license shall be made in duplicate to the department of business regulation in any form that the department requires and shall be accompanied by the required fee and evidence of financial responsibility. The department may require, in that application, information relating to the applicant’s financial standing, the applicant’s business integrity, whether the applicant has an established place of business, whether the applicant is properly able to conduct the business of an automobile body repair shop, and any other pertinent information consistent with the safeguarding of the public interest in the location in which that applicant proposes to engage in business, all of which may be considered by the department in determining whether the granting of that application is in the public interest. In the event of denial of an application, the filing fee paid with that application shall be refunded.

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1985, ch. 181, art. 13, § 2.

5-38-7. Duration of license — Renewal.

  1. The department shall promulgate rules and regulations mandating the term of each license issued pursuant to this chapter; however, no license shall remain in force for a period in excess of three (3) years.
  2. Any fee for the initial issuance or renewal of a license issued pursuant to this chapter shall be determined by multiplying the current annual fee by the term of initial licensure or renewal. The total fee for the entire term of licensure or renewal shall be paid at the time of application for the license or renewal. The license shall be renewed upon payment of the renewal fee.

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1987, ch. 184, § 4.

Cross References.

Duration of license, § 5-38-24 .

5-38-8. License fee.

Effective December 31, 2009, the license fee for each year shall be three hundred dollars ($300). If an applicant desires to do business in more than one location, he, she, or it shall pay a separate fee of three hundred dollars ($300) for each location authorized by the department of business regulation.

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1981, ch. 240, § 1; P.L. 1985, ch. 181, art. 13, § 2; P.L. 2004, ch. 595, art. 30, § 5; P.L. 2005, ch. 117, art. 19, § 1; P.L. 2008, ch. 100, art. 33, § 1.

Cross References.

Duration of license, § 5-38-24 .

5-38-9. Licenses to contain licensee’s name and location of business — Display of licenses.

The license of automobile body repair shops shall specify the name of the holder of that business and the location at which that business is conducted, and must be conspicuously displayed at that location. The license number shall appear on all business communications, estimates, signs, business cards, and other written documentation relating to that business.

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1998, ch. 117, § 2.

5-38-10. Grounds for denial, suspension, or revocation of licenses.

The department of business regulation may deny an application for license or suspend or revoke a license after it has been granted, for the following reasons:

  1. On proof of unfitness of the applicant to do business as an automobile body repair shop;
  2. For any misstatement by the applicant in his or her application for license;
  3. For any failure to comply with the provisions of this section or with any rule or regulation promulgated by the commission under § 5-38-5 ;
  4. For defrauding any customer;
  5. For dismantling any automobile without the written authorization of the owner of the automobile;
  6. For refusing to surrender any automobile to its owner upon tender of payment of the proper charges for towing, storage, and work done on that automobile;
  7. For having indulged in any unconscionable practice relating to the business as an automobile body repair shop;
  8. For willful failure to perform work as contracted for;
  9. For failure to comply with the safety standards of the industry;
  10. For the purchase of used vehicle parts from unlicensed entities; or
  11. For failure to comply with the requirements of § 5-38-30 .

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1983, ch. 221, § 6; P.L. 1985, ch. 181, art. 13, § 2; P.L. 2006, ch. 43, § 1.

5-38-10.1. Civil penalties for violations.

In addition to every other power granted the department of business regulation, the department may fine a licensee not more than one hundred dollars ($100) for any violation or failure to comply with the provisions of this chapter or with any rule or regulation promulgated by the department.

History of Section. P.L. 1979, ch. 349, § 9; P.L. 1981, ch. 240, § 1; P.L. 1985, ch. 181, art. 13, § 2.

5-38-11. Responsibility of licensee for acts of agents.

If a licensee is a firm or corporation, it is sufficient cause for the suspension or revocation of a license that any officer, director, or trustee of the firm or corporation or any member, in the case of a partnership, has been found by the department of business regulation guilty of any act or omission that would be cause for refusing, suspending, or revoking a license to that party as an individual. Each licensee shall be responsible for the acts of any salespersons or any drive-away tow-away operator acting as the agent for that licensee, and for the acts of any salesperson, estimator, or other employee acting as the agent for that licensee.

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1985, ch. 181, art. 13, § 2.

5-38-12. Procedure for suspension or revocation of license.

No license shall be suspended or revoked except after a hearing before the department of business regulation or a hearing officer appointed by the department. The hearing shall be conducted in accordance with the administrative procedures act, chapter 35 of title 42. The order to suspend or revoke that license shall not be effective for ten (10) days after written notice has been sent to the licensee.

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1979, ch. 97, § 1; P.L. 1985, ch. 181, art. 13, § 2.

5-38-13, 5-38-14. [Repealed.]

Repealed Sections.

These sections (P.L. 1974, ch. 111, § 2), concerning arbitration and conduct of hearings, were repealed by P.L. 1979, ch. 97, § 2 and P.L. 1979, ch. 270, § 1.

5-38-15. Right to appeal.

Any licensee or applicant for license or other person in interest being aggrieved by the final order or decision of the department of business regulation has the right to appeal, pursuant to the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1979, ch. 97, § 1; P.L. 1979, ch. 349, § 8; P.L. 1980, ch. 406, § 2; P.L. 1985, ch. 181, art. 13, § 2.

5-38-16, 5-38-17. [Repealed.]

Repealed Sections.

These sections (P.L. 1974, ch. 111, § 2), concerning appeal as stay of decision and witnesses before the commission, were repealed by P.L. 1979, ch. 97, § 2. For present provisions of law, see § 42-35-1 et seq.

5-38-18. Purchase of used vehicle parts — Records of transactions to be maintained.

The purchase of used vehicle parts shall be from entities licensed pursuant to chapter 21 of this title or similar provision by another state. Every licensee shall maintain up-to-date records in the form prescribed by the department of business regulation: (1) With reference to every vehicle for which it has made a charge for parts or services; and (2) Of all original orders for repairs to those vehicles. Those records shall be preserved for a period of two (2) years from the date thereof and shall be open for inspection by any authorized representative of the department during regular business hours, by the division of motor vehicles, and by any state or municipal official or police officer.

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1983, ch. 221, § 6; P.L. 1985, ch. 181, art. 13, § 2.

5-38-19. Criminal penalties for violations — Injunctive relief.

  1. Any person, firm, or corporation required to be licensed under this chapter who conducts an automobile body repair shop business without obtaining a license, or who after the denial, suspension, or revocation of a license conducts that business, is guilty of a misdemeanor and shall, upon conviction, be punished by a fine of not more than one thousand dollars ($1,000), or imprisonment for not more than one year, or both; for a second conviction, is guilty of a felony and shall, upon conviction, be punished by a fine of not less than one thousand dollars ($1,000) and not more than five thousand dollars ($5,000), or by imprisonment for not more than two (2) years, or both; and for a third and subsequent conviction, is guilty of a felony and shall, upon conviction, be punished by a fine of not less than two thousand dollars ($2,000) nor more than ten thousand dollars ($10,000), or by imprisonment for not less than two (2) years nor more than five (5) years, or both. For the purposes of this section, a plea of nolo contendere with probation shall be considered a conviction.
  2. If the department of business regulation has reason to believe that any person, firm, corporation, or association is conducting an automobile body repair shop business without obtaining a license, or who after the denial, suspension, or revocation of a license is conducting that business, the department may issue its order to that person, firm, corporation, or association commanding them to appear before the department at a hearing to be held not sooner than ten (10) days nor later than twenty (20) days after issuance of that order to show cause why the department should not issue an order to that person to cease and desist from the violation of the provisions of this chapter. That order to show cause may be served on any person, firm, corporation, or association named by any person in the same manner that a summons in a civil action may be served, or by mailing a copy of the order, certified mail, return receipt requested, to that person at any address at which that person has done business or at which that person lives. If during that hearing the department is satisfied that the person is in fact violating any provision of this chapter, the department may order that person, in writing, to cease and desist from that violation. All these hearings are governed in accordance with the administrative procedures act, chapter 35 of title 42. If that person fails to comply with an order of the department after being afforded a hearing, the superior court for Providence County has jurisdiction upon complaint of the department to restrain and enjoin that person from violating this chapter.

History of Section. P.L. 1974, ch. 111, § 2; P.L. 1981, ch. 258, § 1; P.L. 1985, ch. 181, art. 13, § 2; P.L. 1993, ch. 229, § 1; P.L. 1998, ch. 117, § 3.

5-38-20. Persons exempt.

This chapter does not prohibit the registered owner of any motor vehicle, or any person related by blood or marriage to that registered owner, from performing any type of work usually performed in an auto body shop, upon the vehicle that is registered in his or her own name; provided, that the work is done personally by the registered owner or that relative, and he or she neither employs nor compensates any person, monetarily or otherwise, to aid and assist in that work.

History of Section. P.L. 1974, ch. 111, § 2.

5-38-21. Severability.

The provisions of this chapter are severable; and if any of the provisions are held to be invalid, the decision of the court respecting that provision or provisions shall not affect the validity of any other provision that can be given effect without that invalid provision.

History of Section. P.L. 1974, ch. 111, § 2.

5-38-22. Appropriations.

The general assembly shall annually appropriate any sum that it deems necessary to carry out the purposes of this chapter, and the state controller is authorized and directed to draw his or her orders upon the general treasurer for the payment of this sum or so much of this sum as may be required from time to time, upon the receipt by him or her of authenticated vouchers.

History of Section. P.L. 1974, ch. 111, § 2.

5-38-23. Auto body repair shop special use identification tags.

Any automobile body repair shop licensed under this title has the right to issue special use identification tags in accordance with the provision of § 31-3-40 .

History of Section. P.L. 1974, ch. 210, § 1.

5-38-24. Duration of licenses — Fee for part of year.

All licenses shall be issued for the twelve-month (12) period commencing on January 1 of each year, and the fee thereafter shall be at the full annual rate specified in § 5-38-8 , regardless of the date of application or issuance of that license.

History of Section. P.L. 1974, ch. 111, § 3.

Cross References.

Duration of license, § 5-38-7 .

5-38-25. [Repealed.]

History of Section. P.L. 1979, ch. 349, § 9; Repealed by P.L. 1980, ch. 226, § 20.

Compiler’s Notes.

Former § 5-38-25 provided for the termination of the automobile body repair shop commission.

5-38-26. Inspection by lienholders.

  1. For the purpose of inspecting repaired vehicles, a lienholder or lienholders shall be allowed forty-eight (48) hours or two (2) working days after notification by the body shop to inspect the vehicle at the body shop. The agent for the lienholder or lienholders inspecting the vehicle must be located within the state of Rhode Island and have the authority to sign the insurance check or draft.
  2. If the lienholder(s) fails to inspect within the time frame specified in subsection (a), it must endorse the insurance company check or draft to the body shop.

History of Section. P.L. 1987, ch. 206, § 1; P.L. 1999, ch. 102, § 1.

5-38-27. Maximum storage fees.

The director of the department of business regulation shall promulgate rules and regulations to establish reasonable, maximum storage fees that may be charged by licensees under this chapter.

History of Section. P.L. 1992, ch. 392, § 1.

5-38-28. Repair certification.

The automobile body repair shop shall include in the documentation of each repair, a repair bill executed by the automobile body repair shop and certifying under the penalties of perjury, the repairs to a particular vehicle that have actually been made.

History of Section. P.L. 1993, ch. 168, § 1; P.L. 1993, ch. 405, § 1; P.L. 2012, ch. 298, § 1; P.L. 2012, ch. 329, § 1.

5-38-29. Repair bills.

Each repair bill shall contain an itemized listing of the manufactured parts, used parts, and generic parts installed by the licensee in the repair of the vehicle.

History of Section. P.L. 1993, ch. 170, § 1.

5-38-30. Notices required to be displayed.

A sign in boldfaced type letters at least two (2) inches high, must be displayed in a conspicuous location in every licensed auto body repair facility reading as follows:

“PURSUANT TO RHODE ISLAND LAW, THE CONSUMER HAS THE RIGHT TO CHOOSE THE REPAIR FACILITY TO COMPLETE REPAIRS TO A MOTOR VEHICLE; AND AN INSURANCE COMPANY MAY NOT INTERFERE WITH THE CONSUMER’S CHOICE OF REPAIRER.”

History of Section. P.L. 2006, ch. 43, § 2.

5-38-31. Reimbursement fee.

The director of the department of business regulation may assess an automobile body shop for reimbursement of the department’s actual expenses for the investigation and hearing of significant auto body shop matters. An assessment may be sought in the event that an automobile body shop does not prevail after a final judicial appeal.

History of Section. P.L. 2008, ch. 100, art. 33, § 2.

Chapter 38.1 Pawtucket — Motor Vehicle Repair Businesses

5-38.1-1. Local licensing — Fees — Penalties.

The city council of the city of Pawtucket is authorized to provide, by ordinance, for the issuing and revocation in its discretion of licenses to all persons, partnerships, corporations, or establishments doing any repairs or repair work to any type of motor vehicle or motor vehicle parts, exclusive of auto body repairs, within the city of Pawtucket, subject to the listed conditions and restrictions contained in this chapter and for a term not exceeding one year; and also for charging and collecting fees for those licenses; provided, that the prescribed fees do not exceed the sum of one hundred dollars ($100) for any qualified licensee; and also to fix a penalty for doing motor vehicle repairs without a license or in violation of any ordinance or regulation made as authorized by this section, not exceeding for any one offense a fine of five hundred dollars ($500), or imprisonment not exceeding six (6) months.

History of Section. P.L. 1989, ch. 313, § 1.

5-38.1-2. Hearings and objections by neighboring landowners.

  1. The city council of the city of Pawtucket, before granting a license under this chapter to operate a motor vehicle repair business, defined in § 5-38.1-3 , in any location not lawfully occupied for that purpose at the time of the application for the license, shall hold a public hearing, notice of which shall be given by advertisement published once a week for at least two (2) weeks prior to the hearing in the manner provided by law. The advertisement shall be published in a newspaper of general circulation in the city of Pawtucket; provided, that before the local licensing authority publishes notice of a hearing, it shall collect from the applicant for the license a fee of ten dollars ($10.00), plus the cost of posting and publishing the notice. The notice shall state that remonstrants are entitled to be heard and shall name the date, time, and place of the hearing.
  2. The local licensing authority, before granting a license under this ordinance, shall provide notice of the application, by mail, to all owners of property whose property in whole or in part falls within two hundred feet (200´) of the property line of the place of business seeking the application. The manner and method of notification of property owners shall be done in accordance with rules and regulations adopted by the local licensing authority.

History of Section. P.L. 1989, ch. 313, § 1; P.L. 1999, ch. 354, § 9.

5-38.1-3. “Motor vehicle repair business” defined.

As used in this chapter, “motor vehicle repair business” means any place, establishment, garage, or work area enclosed within a building where repairs are made or caused to be made to motor vehicles, including engines, carburetors, brakes, transmissions, muffler systems, electrical systems, and general running gear of motor vehicles exclusive of auto body repairs; and including any used automobile dealership, but excluding any new automobile dealership.

History of Section. P.L. 1989, ch. 313, § 1; P.L. 2000, ch. 37, § 1.

5-38.1-4. Conditions to licensing of motor vehicle repair business.

No license shall be granted for a motor vehicle repair business under § 5-38.1-1 unless:

  1. It is located within a lawfully authorized zoning district within the city of Pawtucket;
  2. It is to be operated and maintained entirely within a building;
  3. The applicants and principals of applicant corporations have no prior criminal record; and
  4. The licensed business is being operated, or will operate, in a lawful manner, and in conformity with all applicable federal, state, and municipal laws, statutes, ordinances, and regulations.

History of Section. P.L. 1989, ch. 313, § 1.

5-38.1-5. Enforcement of § 5-38.1-4.

  1. Notwithstanding any other provision of this chapter except § 5-38.1-6 , the penalties provided for in § 5-38.1-1 shall be imposed whenever anyone is found to be in violation of § 5-38.1-4 .
  2. It is the duty of the state police and the police of the city of Pawtucket to enforce this section.

History of Section. P.L. 1989, ch. 313, § 1.

5-38.1-6. Existing motor vehicle repair businesses.

The provisions of § 5-38.1-4(1) , (2), and (3) do not apply to any person, partnership, corporation, or establishment presently in existence, but shall apply to all motor vehicle repair businesses established after July 7, 1989.

History of Section. P.L. 1989, ch. 313, § 1.

5-38.1-7. Severability.

If any clause, sentence, paragraph, or part of this chapter or the application of this chapter to any person or circumstance is, for any reason, adjudged by a court of competent jurisdiction to be invalid, that judgment shall not affect, impair, or invalidate the remainder of this chapter or its application to other persons or circumstances.

History of Section. P.L. 1989, ch. 313, § 1.

Chapter 38.2 Providence — Motor Vehicle Repair Businesses

5-38.2-1. Local licensing — Fees — Penalties.

The council of the city of Providence is authorized to provide, by ordinance, for the issuing and revocation in its discretion of licenses to all motor vehicle repair businesses within the city of Providence, subject to the listed conditions and restrictions contained in this chapter and for terms not exceeding one year; and also for charging and collecting fees for those licenses, provided that the prescribed fees do not exceed the sum of one hundred dollars ($100) for any qualified licensee; and also to fix a penalty for doing motor vehicle repairs without a license or in violation of any ordinance or regulation made as authorized by this section, not exceeding for any one offense a fine of five hundred dollars ($500) or imprisonment not exceeding six (6) months.

History of Section. P.L. 1990, ch. 53, § 1.

5-38.2-2. Hearings and objections by neighboring landowners.

  1. The city council of the city of Providence, before granting a license under this chapter to operate a motor vehicle repair business, defined in § 5-38.2-3 , in any location not lawfully occupied for that purpose at the time of the application for the license, shall hold a public hearing, notice of which shall be given by advertisement published once a week for at least two (2) weeks prior to the hearing in the manner provided by law. The advertisement shall be published in a newspaper of general circulation in the city of Providence; provided, that before the local licensing authority publishes notice of a hearing, it shall collect from the applicant for the license a fee of ten dollars ($10.00), plus the cost of posting and publishing the notice. The notice shall state that remonstrants are entitled to be heard and shall name the date, time, and place of the hearing.
  2. The local licensing authority, before granting a license under this ordinance, shall provide notice of the application, by mail, to all owners of property whose property in whole or in part falls within two hundred feet (200´) of the property line of the place of business seeking the application. The manner and method of notification of property owners shall be done in accordance with rules and regulations adopted by the local licensing authority.

History of Section. P.L. 1990, ch. 53, § 1; P.L. 1999, ch. 354, § 10.

5-38.2-3. “Motor vehicle repair business” defined.

As used in this chapter, “motor vehicle repair business” means any place, establishment, garage, outdoor work area, or work area enclosed within a building where repairs are made or caused to be made to motor vehicles, including engines, carburetors, brakes, transmissions, muffler systems, electrical systems, and general running gear of motor vehicles including auto body repairs; and including any used automobile dealership, but excluding any new automobile dealership.

History of Section. P.L. 1990, ch. 53, § 1.

5-38.2-4. Conditions to licensing of motor vehicle repair business.

No license shall be granted for a motor vehicle repair business under § 5-38.2-1 unless:

  1. It is located within a lawfully authorized zoning district within the city of Providence;
  2. It is to be operated and maintained entirely within a building; and
  3. The licensed business is being operated, or will operate, in a lawful manner, and in conformity with all applicable federal, state, and municipal laws, statutes, ordinances, and regulations.

History of Section. P.L. 1990, ch. 53, § 1; P.L. 1991, ch. 396, § 1.

5-38.2-5. Enforcement of § 5-38.2-4.

  1. Notwithstanding any other provision of this chapter, the penalties provided for in § 5-38.2-1 shall be imposed whenever anyone is found to be in violation of § 5-38.2-4 .
  2. It is the duty of the state police and the police of the city of Providence to enforce this section.

History of Section. P.L. 1990, ch. 53, § 1.

5-38.2-6. Criminal records of applicants.

Before granting a license under this chapter, the local licensing authority shall consider the prior criminal record of the applicants and principals of applicant corporations.

History of Section. P.L. 1991, ch. 396, § 2.

Chapter 38.3 Motor Vehicle Repair Shop Act

5-38.3-1. Statement of purpose.

The purposes of this chapter are to further highway safety by promoting the proper and efficient repair of malfunctioning or disabled motor vehicles and to protect consumers from dishonest, deceptive, and fraudulent practices in the repair of motor vehicles. The purpose of this chapter is to protect the motoring public from improper repairs made to its vehicles; to set standards for quality repairs to be made to motor vehicles for fair and reasonable fees; and to eliminate unqualified automotive repair shops from engaging in the business of automotive repair to malfunctioning or disabled vehicles.

History of Section. P.L. 1994, ch. 371, § 1.

5-38.3-2. Definitions.

As used in this chapter:

  1. “Consumer protection unit” means the consumer protection unit of the department of the attorney general.
  2. “Day” means calendar day, except that if the last day is a Saturday, Sunday, or holiday, there is an extension of time to the conclusion of the next business day.
  3. “Deceptive practice” means a deceptive act or practice as defined in chapter 13.1 of title 6.
  4. “Diagnostic center” means a business that examines motor vehicles to determine the cause or location of malfunctions in motor vehicles.
  5. “Documentary material” means the original or a copy of any book, record, report, memorandum, paper, communication, tabulation, map, chart, photograph, mechanical transcription, or other tangible document or recording wherever situate.
  6. “Estimate” means the repair shop’s determination of the cost of parts and the cost of labor needed to perform offered services. If a teardown is needed to determine the services required to repair a motor vehicle malfunction, the estimate, which includes the cost of teardown and reassembly, shall clearly state that the estimate does not include the cost of repairs.
  7. “Examination” of documentary material includes the inspection, study, or copying of any documentary material, and the taking of testimony, under oath or acknowledgement, in respect of any documentary material or copy of documentary material.
  8. “Flat rate” means relevant time allocated to a job as indicated in the manual used. These times may differ from actual time.
  9. “Guarantee” means an obligation undertaken by a repair shop to re-repair a vehicle at no charge, or at a reduced charge, for parts or labor or both.
  10. “Invoice” means a bill, in writing, listing the details of the transaction between the repair shop and the customer as required by this part.
    1. “Motor vehicle” means every vehicle operated or driven upon a public highway that is propelled by any power other than muscular power, except:
      1. Electrically-driven mobility assistance devices operated or driven by a person with a disability;
      2. Vehicles that run only upon rails or tracks;
      3. Snowmobiles;
      4. Farm-type tractors and all-terrain vehicles used exclusively for agricultural purposes; and
      5. Towed vehicles designed and primarily used for some purpose other than transporting people or property.
    2. The term “motor vehicle” excludes fire and police vehicles other than ambulances.
  11. “Motor vehicle repair shop” or “repair shop” means any person who, for compensation, is wholly or partially engaged in the business of repairing or diagnosing motor vehicle malfunctions, except that these terms do not include:
    1. Any employee of a motor vehicle repair shop who engages in the business of repairing motor vehicles solely by reason of his or her employment;
    2. Any person who is solely engaged in the business of repairing the motor vehicles of a single commercial or industrial establishment, or of the federal, state, or local government or any agency thereof;
    3. Any person whose activities consist solely of fueling, changing oil, water, batteries, or tires, replacing fan belts, air filters, or oil filters, installing windshield wiper blades or light bulbs, or other minor repair and servicing functions that the director by rule prescribes;
    4. Any person solely engaged in the business of repairing farm- or road-building machines, or any other utility vehicles that the director may by regulation designate;
    5. Any person who is governed by the provisions of chapters 5 and 5.1 of title 31.

      “Motor vehicle repair shop” shall also include any shop, drive-in station, or garage operated by any person, firm, corporation, or association at which motor vehicles are inspected for the purposes of appraising, evaluating, or estimating the cost of motor vehicle repairs, and the repairs are actually performed.

  12. “Reasonable fee for making an estimate” means an amount based on no more than the shop’s labor charge, calculated by clock hours, or one dollar ($1.00), whichever is greater.
  13. “Repair” means any alteration or adjustment to a motor vehicle, or diagnoses of a malfunction.
  14. “Timely written demand” means a request, in writing, made to the repair shop operator by the customer before any work is done on the vehicle.
  15. “Trade” and “commerce” mean the advertising, offering for sale, sale, or distribution of any services and any property, tangible or intangible, real, personal, or mixed, and any other article, commodity, or thing of value wherever situated, and includes any trade or commerce directly or indirectly affecting the people of this state.
  16. “Warranty” means a promise made by a manufacturer that a vehicle will be repaired at no charge, or at a reduced charge, for parts or labor or both.
  17. “Work order” means an authorization, either oral or written, on the part of the customer for the repair shop to perform a service.

History of Section. P.L. 1994, ch. 371, § 1.

5-38.3-3. Obligations of motor vehicle repair shop.

The repair shop shall:

    1. Upon request of any customer, make an estimate, in writing, of the parts and labor necessary for each specific repair or service offered and not charge for work done or parts supplied in excess of the estimate without the consent of the customer. The repair shop may charge a reasonable fee for making an estimate. The repair shop may elect to apply the estimate fee to services actually performed. The estimate shall contain the following information: the customer’s name; the name of the repair shop; the date of the estimate; a list of parts necessary for each specific repair together with the costs for each part, indicating any parts that are not new parts of at least original equipment quality; the labor charge for each repair together with the costs of each labor charge; year and make of vehicle; registration plate number or vehicle identification number; a description of the problem reported by the customer; and a statement informing the customer of his or her right to receive replaced parts if the customer makes a written request for such return. All information on an estimate must be legible;
    2. Written estimates must indicate the hourly labor charge and how it is computed, i.e., by clock hours or flat rate. If a flat rate, the manual used must be specified. A repair shop may utilize a job rate that covers both labor and parts on mechanical and electrical repairs costing less than two hundred dollars ($200). When a job rate is used, a list of parts must be included in the estimate and invoice;
    3. If a flat rate is used, the consumer shall be shown relevant time rates as listed in the manual, on request;
    4. A customer may not be charged for storage or automotive repair unless notice, in writing, is given. Notice may be given by a statement on an estimate or other document given the customer, by letter or by other written means, that gives the customer actual notice. Storage may not be charged during the period from which the customer has authorized repairs to one business day after the repair shop has notified the customer to pick up the repaired vehicle;
    5. Upon reasonable notice, a customer may remove a vehicle from a repair shop during the shop’s business hours upon paying for: (A) Labor actually performed; (B) Parts actually installed; (C) Parts ordered specifically for the customer’s car if the order is not cancelable or the parts not returnable for cash or credit; and (D) Storage charges imposed in accordance with subsection (1)(iv);
  1. Not perform any services not authorized by the customer by a work order. If a repair shop prepares a written work order, a copy shall be given to the customer. If a written work order is prepared by the customer, the work order shall be attached to the invoice. If the customer gives an oral work order, the oral work order shall be noted on the invoice and shall include the date, time, and manner of authorization and by whom the authorization was given;
  2. Provide the customer with an invoice. An invoice shall contain the following information: the name and address of the repair shop; the date of the invoice; the date the vehicle was presented to the repair shop for repair or services; a list of all parts supplied and labor performed, including the cost for each part and labor; a notation indicating the status of any part used that is not new and of at least original quality (i.e., used, rebuilt, etc.); the odometer reading on the vehicle at the time it was left with the repair shop and the odometer reading at the time the invoice was prepared; a promised date of delivery; if any date was given; the name of the customer; year and make of the vehicle; the terms and time limit of any guarantee for the repair work performed; and a description of the problem reported by the customer. A repair performed under warranty requires an invoice that complies with this subsection. All information on an invoice must be legible;
  3. Return replaced parts if a timely written demand is made by the customer. If work is authorized over the telephone, it shall be presumed that the customer wants his or her parts returned and the repair shop shall keep these parts until the customer or his or her agent appears to retrieve the motor vehicle, at which time the replaced parts shall be given to the customer if he or she directs. This subsection does not apply to parts, components, or equipment normally sold on an exchange basis or subject to a manufacturer’s warranty;
  4. Operate the vehicle while in its possession only in accordance with the direction of the customer or as is necessary to repair or road test the vehicle;
  5. Make repairs covered by guarantee;
  6. Not commit fraud or engage in deceptive practices; and
  7. Upon request of any customer, make available for inspection the time cards used in making any automobile repairs.

History of Section. P.L. 1994, ch. 371, § 1; P.L. 2004, ch. 306, § 1.

5-38.3-4. Powers and duties of the attorney general.

  1. Under this chapter, the department of attorney general’s consumer protection unit has the power to make and conduct any investigations that it deems proper to effectuate the purposes of this chapter. The consumer protection unit will accept complaints against a repair shop up to ninety (90) days or three thousand (3,000) miles after completion of the repairs, whichever comes first. All complaints that are signed shall be reviewed or investigated except those that fall outside the jurisdiction of this chapter. The consumer protection unit may assist in settlement of disputes between the repair shop and the complainant.
  2. The attorney general may establish, by rule or regulation, criteria upon which the necessity for investigation or complaints is determined. This criteria may include, but not be limited to, the alleged financial loss to the complainant; the indication of a recurring incidence of fraud or deceptive practices; or the essential nature of the service provided to the safe operation of the vehicle.
  3. The attorney general may prescribe any rules and regulations that he or she deems necessary to effectuate the purpose of this chapter.

History of Section. P.L. 1994, ch. 371, § 1.

5-38.3-5. Investigation — Procedure — Remedies for failure to comply.

  1. When it appears to the attorney general that a person has engaged in, is engaging in, or is about to engage in, any act or practice declared to be unlawful by this chapter, or when the attorney general believes it to be in the public interest that an investigation should be made to ascertain whether a person in fact has engaged in, is engaging in, or is about to engage in, any act or practice declared to be unlawful by this chapter, he or she may execute, in writing, and serve, upon any person who is believed to have information, documentary material, or physical evidence relevant to the alleged or suspected violation, an investigative demand, stating the general subject matter of the investigation and the statute and section the alleged or suspected violation of which is under investigation, and requiring the person to furnish, under oath or otherwise, a report, in writing, stating the relevant facts and circumstances of which the person has knowledge, or to appear and testify, or to produce relevant documentary material or physical evidence for examination, at any reasonable time and place that may be stated in the investigative demand, concerning the deceptive and/or fraudulent practice in the repair of motor vehicles or the conduct of any trade or commerce that is the subject matter of the investigation. All civil investigative demands shall be filed in the superior court of the county in which the person served with the demand dwells or has his or her principal place of business.
  2. At any time before the return date specified in an investigative demand, or within twenty (20) days after the demand has been served, whichever period is shorter, a petition to extend the return date or to modify or set aside the demand, stating good cause, may be filed in the superior court in which the person served with the demand dwells or has his or her principal place of business, or in the superior court of Providence County.
  3. To accomplish the objectives and to carry out the duties prescribed by this chapter, the attorney general, in addition to other powers conferred upon him or her by this chapter, may issue subpoenas to any person, administer an oath or affirmation to any person, and conduct hearings in aid of any investigation or inquiry; provided, that none of the powers conferred by this chapter shall be used for the purpose of compelling any natural person to furnish testimony or evidence that might tend to incriminate that person or subject him or her to a penalty or forfeiture. Information obtained pursuant to the powers conferred by this chapter shall not be made public or disclosed by the attorney general or his or her employees beyond the extent necessary for law enforcement purposes in the public interest.
  4. Service of any notice, demand, or subpoena under this chapter shall be made personally within this state, but if personal service cannot be obtained, substituted service may be made in the following manner:
    1. Personal service outside this state;
    2. The mailing by registered or certified mail to the last known place of business, residence, or abode within or outside this state of the person for whom the service is intended;
    3. As to any person other than a natural person, in the manner provided in the rules of civil procedure as if a complaint or other pleading that institutes a civil proceeding had been filed; or
    4. Any service that the superior court may direct in lieu of personal service within this state.
  5. A person upon whom a demand is served pursuant to the provisions of this section shall comply with the terms of the demand unless otherwise provided. Subject to the protections provided for in subsection (c) relating to self incrimination, any person who, with intent to avoid, evade, or prevent compliance, in whole or in part, with any civil investigative demand under this section, removes from any place, conceals, withholds, or destroys, mutilates, alters, or by any other means falsifies any documentary material in the possession, custody, or control of any person subject of any demand, or knowingly conceals any relevant information, shall be fined not more than two thousand five hundred dollars ($2,500).
  6. If any person fails or refuses to file any statement or report, or obey any subpoena or investigative demand issued by the attorney general, the attorney general may file in the superior court of the county in which the person dwells or can be found, or has his or her principal place of business, or of Providence County, if the superior court at that county is not in session, or if the person is a nonresident or has no principal place of business in this state, or of the other county that may be agreed upon by the parties to the petition, and serve upon the person a petition for an order of the court for the enforcement of this section, and the petition may request and the court has jurisdiction to grant after notice and hearing, an order:
    1. Granting injunctive relief to restrain the person from engaging in the deceptive and/or fraudulent practice in the repair of motor vehicles or the conduct of any trade or commerce that is involved in the alleged or suspected violation;
    2. Vacating, annulling, or suspending the corporate charter of a corporation created by or under the laws of this state or revoking or suspending the certificate of authority to do business in this state of a foreign corporation or revoking or suspending any other licenses, permits, or certificates issued pursuant to law to the person that are used to further the allegedly unlawful practice; and
    3. Granting any other relief that may be required, until the person files the statement or report, or obeys the subpoena or investigative demand.
    4. Any final order entered is subject to appeal to the state supreme court. Any disobedience of any final order entered under this section by any court shall be punished as a contempt of the order.

History of Section. P.L. 1994, ch. 371, § 1.

5-38.3-6. Injunctive relief and civil penalties.

  1. The superior court of this state has jurisdiction to prevent and restrain violations of this chapter. In addition to granting prohibitory injunctive and other restraints for a period of time and upon terms and conditions necessary to deter and insure against the committing of future violations of this chapter, the court may grant injunctive relief reasonably necessary to dissipate the ill effects of the violation. The court may issue appropriate decrees upon consent and stipulation by the parties. The court may also issue restraining orders. Under no circumstances is the state required to post bond in any action under this section.
  2. The attorney general may institute proceedings to prevent and restrain violations of this chapter as provided in subsection (a).
  3. Any person may institute proceedings for injunctive relief, temporary or permanent, as provided in subsection (a), against threatened loss or damage to his or her property by a violation of this chapter. A preliminary injunction may be issued upon a showing that the danger of irreparable loss or damage is immediate and, within the court’s discretion, the execution of property bond against damages for an injunction improvidently granted. If the court issues a permanent injunction, the plaintiff shall be awarded reasonable attorney’s fees, filing fees, and reasonable costs of the suit. Reasonable costs for the suit may include, but shall not be limited to, the expenses of discovery and document production.
  4. In addition to injunctive relief authorized pursuant to subsection (a), any person, firm, corporation, or other entity in violation of this chapter may be liable for a civil penalty in a suit by the attorney general of this state of not more than one thousand dollars ($1,000) for each violation.

History of Section. P.L. 1994, ch. 371, § 1.

5-38.3-7. Severability.

If any part or provision of this chapter or the application of this chapter to any person or circumstances is adjudged invalid by a court of competent jurisdiction, this judgment is confined in its operation to the part, provision, or application directly involved in the controversy in which this judgment had been rendered and shall not affect or impair the validity of the remainder of this chapter or the application of this chapter to other persons or circumstances.

History of Section. P.L. 1994, ch. 371, § 1.

5-38.3-8. Notices required to be displayed.

  1. Any person operating a motor vehicle repair shop and/or motor vehicle body and frame repair shop shall display in a conspicuous place in the shop a sign in boldfaced type in letters at least two (2) inches high reading substantially as follows:

    “PURSUANT TO RHODE ISLAND INSURANCE LAW, AN INSURANCE COMPANY MAY NOT REQUIRE THAT REPAIRS BE MADE TO A MOTOR VEHICLE BY A PARTICULAR PERSON OR REPAIR SHOP.”

  2. The failure to display a sign as required by this section shall be deemed to be an unfair sales practice pursuant to the provisions of chapter 13 of title 6, “Unfair Sales Practices,” and a deceptive trade practice pursuant to the provisions of chapter 13.1 of title 6, “Deceptive Trade Practices.”

History of Section. P.L. 2005, ch. 278, § 1.

Chapter 38.4 Cranston — Motor Vehicle Repair Businesses

5-38.4-1. Local licensing — Fees — Penalties.

The city council of the city of Cranston is authorized to provide, by ordinance, for the issuing and revocation in its discretion of licenses to all motor vehicle repair businesses within the city of Cranston, subject to the listed conditions and restrictions provided in this chapter and for terms not exceeding one year and also for charging and collecting fees for those licenses; provided, that the prescribed fees do not exceed the sum of one hundred dollars ($100) for any qualified licensee; and, also, to fix a penalty for doing motor vehicle repairs without a license or in violation of any ordinance or regulation made as authorized by this section, not exceeding for any one offense a fine of five hundred dollars ($500), or imprisonment not exceeding six (6) months.

History of Section. P.L. 1997, ch. 375, § 1.

5-38.4-2. Hearings and objections by neighboring landowners.

  1. The city council of the city of Cranston, before granting a license under this chapter to operate a motor vehicle repair business, defined in § 5-38.4-3 , in any location not lawfully occupied for that purpose at the time of the application for the license, shall hold a public hearing, notice of which shall be given by advertisement published once a week for at least two (2) weeks prior to the hearing in the manner provided by law. The advertisement shall be published in a newspaper of general circulation in the city of Cranston; provided, that before the local licensing authority publishes notice of a hearing, it shall collect from the applicant for the license a fee of ten dollars ($10.00), plus the cost of posting and publishing the notice. The notice shall state that remonstrants are entitled to be heard and shall name the date, time, and place of the hearing.
  2. The local licensing authority, before granting a license under this ordinance, shall provide notice of the application, by mail, to all owners of property whose property in whole or in part falls within two hundred feet (200´) of the property line of the place of business seeking the application. The manner and method of notification of property owners shall be done in accordance with rules and regulations adopted by the local licensing authority.

History of Section. P.L. 1997, ch. 375, § 1; P.L. 1999, ch. 354, § 11.

5-38.4-3. “Motor vehicle repair business” defined.

As used in this chapter, “motor vehicle repair business” means any place, establishment, garage, outdoor work area, or work area enclosed within a building where repairs are made or caused to be made to motor vehicles, including engines, carburetors, brakes, transmissions, muffler systems, electrical systems, and general running gear of motor vehicles including autobody repairs; and including any used automobile dealership, but excluding any new automobile dealership.

History of Section. P.L. 1997, ch. 375, § 1.

5-38.4-4. Conditions to licensing of motor vehicle repair business.

No license shall be granted for a motor vehicle repair business under § 5-38.4-1 unless:

  1. It is located within a lawfully authorized zoning district within the city of Cranston;
  2. It is to be operated and maintained entirely within a building; and
  3. The licensed business is being operated, or will operate, in a lawful manner, and in conformity with all applicable federal, state, and municipal laws, statutes, ordinances, and regulations.

History of Section. P.L. 1997, ch. 375, § 1.

5-38.4-5. Enforcement of § 5-38.4-4.

  1. Notwithstanding any other provision of this chapter, the penalties provided for in § 5-38.4-1 shall be imposed whenever anyone is found to be in violation of § 5-38.4-4 .
  2. It is the duty of the state police and the police of the city of Cranston to enforce this section.

History of Section. P.L. 1997, ch. 375, § 1.

5-38.4-6. Existing motor vehicle repair businesses.

The provisions of § 5-38.4-4(1) and (2) do not apply to any person, partnership, corporation, or establishment presently in existence, but shall apply to all motor vehicle repair businesses established after July 22, 1997.

History of Section. P.L. 1997, ch. 375, § 1.

5-38.4-7. Severability.

If any clause, sentence, paragraph, or part of this chapter or the application of this chapter to any person or circumstance is, for any reason, judged by a court of competent jurisdiction to be invalid, that judgment shall not affect, impair, or invalidate the remainder of this chapter or its application to other persons or circumstances.

History of Section. P.L. 1997, ch. 375, § 1.

Chapter 38.5 Motor Vehicle Glass Consumer Protection Act

5-38.5-1. Short title.

This chapter shall be known and may be cited as the “Motor Vehicle Glass Consumer Protection Act.”

History of Section. P.L. 2015, ch. 146, § 1.

Effective Dates.

P.L. 2015, ch. 146, § 3, provides that this chapter takes effect on January 1, 2016.

5-38.5-2. Purpose.

By enacting this chapter, it is the intent of the general assembly to protect consumers of motor vehicle glass repair and replacement services through the licensing and regulation of motor vehicle glass repair shops.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-3. Definitions.

As used in this chapter, the following terms shall have the following meanings unless the context clearly specifies otherwise:

  1. “Department” means the Rhode Island department of business regulation and the official actions, duties, and responsibilities of its director, deputy directors, employees, or authorized designees.
  2. “Director” means the director of the Rhode Island department of business regulation, department officials, or authorized individuals designated by the director to take official actions.
  3. “Licensed motor vehicle glass repair shop” means a motor vehicle glass repair shop that has a current, valid license for motor vehicle glass repair issued under this chapter.
  4. “Motor vehicle glass repair” means the business or act of repairing or replacing damaged or undamaged glass in motor vehicles for compensation.
  5. “Motor vehicle glass repair shop” means a person or entity who or that, for compensation, or with the intention or expectation of receiving the same, repairs or replaces, or undertakes to repair or replace, motor vehicle glass.
  6. “Person” means individuals, associations, partnerships, firms, and corporations, and the officers, directors, and employees of a corporation.
  7. “Unlicensed motor vehicle glass repair shop” means a motor vehicle glass repair shop that does not have a current, valid license issued under this chapter; that has had its license revoked or suspended; or that has surrendered its license under this chapter.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-4. Duties of the department of business regulation.

  1. The department shall issue licenses as provided for in this chapter and shall authorize the transfer of licenses and the establishment of new offices for previously licensed motor vehicle glass repair shops.
  2. Within one year of the effective date of this chapter, the department shall issue a motor vehicle glass repair license, without payment of fee, to any holder of a limited glass license for motor vehicle glass installation issued by the department who or that submits an application as outlined in this chapter; persons or entities grandfathered under this subsection must be compliant with all provisions of this chapter within one year of the effective date of this chapter or such license shall be revoked by the department.
  3. The department shall, in its discretion, conduct oversight of motor vehicle glass repair shops, including:
    1. Acting on complaints from consumers and law enforcement officials; and
    2. Revoking, suspending, or taking other disciplinary actions with respect to facilities, corporations, or persons licensed under this chapter.
  4. The department may adopt reasonable rules and regulations for the licensing of motor vehicle glass repair shops similar to other collision repair shops.
  5. The department may establish, adopt, amend, and rescind rules, regulations, procedures, standards for sanitary, hygienic, and healthful conditions for work premises and facilities used by motor vehicle glass repair shops as necessary to carry out the provisions of this chapter.
  6. The department may establish minimum requirements for the certification of motor vehicle glass repair technicians consistent with current vehicle glass standards established by American National Standards Institute (ANSI) related to repair of laminated automotive glass and auto glass replacement and other recognized national or corporate training programs.
  7. Notwithstanding any provision or law to the contrary, this chapter shall not prohibit or restrict the installation or repair of motor vehicle glass by an auto body repair shop licensed by the department.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-5. Practices for which license is required.

  1. An annual license shall be issued by the department to persons meeting the qualifications set by the department and paying the required fees.
  2. No person shall engage in motor vehicle glass repair, or advertise or represent in any form or manner that he, she, or it is a motor vehicle glass repair shop, unless such person possesses a current valid license to operate or conduct a motor vehicle glass repair shop issued under this chapter.
  3. Any motor vehicle glass repair to be performed in the state shall be performed by a licensed motor vehicle glass repair shop pursuant to this chapter.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-6. Applications for licenses.

  1. Application for motor vehicle glass repair shop licenses shall be made to the department of business regulation in any form the department requires and shall be accompanied by the required fee and evidence of financial responsibility. In the application, the department:
    1. Shall require the name and address of the applicant and of any person having financial interest, direct or indirect, in the business to be conducted by the applicant, identify at least one natural person who is in charge of the operations of the applicant, and such other information as the director shall require; and
    2. May require information relating to the applicant’s financial standing; the applicant’s business integrity; whether the applicant has an established place of business; whether the applicant is properly able to conduct the business of a motor vehicle glass repair shop; and any other pertinent information consistent with the safeguarding of the public interest in the locations that the applicant proposes to engage in business, all of which may be considered by the department in determining whether the granting of that application is in the public interest.
  2. A person applying for licensing or renewal as a licensed motor vehicle glass repair shop shall:
      1. Maintain a physical place of business within the state at which it has indoor facilities suitable to perform motor vehicle glass repair services and from which it may lawfully dispatch mobile service vans with the intention of performing glass repair services on a mobile basis; or
      2. If providing motor vehicle glass repair services on a mobile-only basis, have access to indoor facilities licensed or subject to regulation under chapters 38, 38.3, or 38.5 of this title or chapter 5 of title 31 at which services must be performed indoors during inclement weather, in accordance with the resin and adhesive manufacturer instructions, as well as ANSI standards;
    1. If using a mobile service van, register and insure such van as a commercial vehicle;
    2. If providing motor vehicle glass repair services, possess and maintain in working order, the equipment necessary to provide motor-vehicle-windshield-glass stone chip repair;
    3. If providing motor vehicle glass repair services, possess and maintain the equipment necessary to perform motor vehicle glass replacement services;
    4. Obtain all required local, state, and federal licenses and permits, including a state sales tax identification number and a federal tax identification number;
    5. Not subcontract or sublet motor vehicle glass repair services to any other person or entity not in the employ of the licensed motor vehicle glass repair shop unless such person or entity is also a duly licensed motor vehicle glass repair shop.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-7. Duration of license — Renewal.

  1. The department shall determine the term of each license issued pursuant to this chapter and may issue multi-year licenses with a fee for each year of licensure paid in full at issuance or renewal; provided, however, no license shall remain in force for a period in excess of three (3) years. All licenses shall be issued for the twelve-month (12) period commencing on January 1 of each year, and the fee thereafter shall be at the full, annual rate specified in § 5-38.5-8 , regardless of the date of application or issuance of that license.
  2. Any fee for the initial issuance or renewal of a license issued pursuant to this chapter shall be determined by multiplying the current annual fee by the term of initial licensure or renewal. The total fee for the entire term of licensure or renewal shall be paid at the time of application for the license or renewal. The license shall be renewed upon payment of the renewal fee.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-8. License fee.

The license fee for each year shall be three hundred dollars ($300). If an applicant desires to do business in more than one location, he, she, or it shall pay a separate fee of three hundred dollars ($300) for each location authorized by the department. For the purposes of this section, the term “location” means a physical place of business at which a licensed motor vehicle glass repair shop has indoor facilities suitable to perform motor vehicle glass repair services and shall not apply to locations where a licensed motor vehicle glass repair shop provides services on a mobile basis.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-9. Licenses — Content and display.

  1. The license of a motor vehicle glass repair shop shall specify the name of the holder of that business and the location at which business is conducted; shall not be transferable; may be exercised only by the person whose name appears on the license; and must be conspicuously displayed at that location. The license number shall appear on all business communications, estimates, signs, business cards, and other written documentation relating to that business.
  2. No unlicensed motor vehicle glass repair shop shall display in its place of business any license or copy or facsimile of a license, nor shall it in any manner state that it is, or hold itself out to be, a licensed motor vehicle glass repair shop.
  3. Prior to its expiration date, a license may be suspended or revoked by the department in accordance with the procedure and on the grounds set forth in this chapter or may be terminated by voluntary surrender by the license holder.
  4. Upon the expiration, termination, or surrender of a license, the licensee shall deliver the license to the department which shall cancel the license and endorse the date of expiration, termination, or surrender on the certificate.
  5. The department shall open to public inspection, either by keeping on file in convenient form or by publishing on the department’s website, a list of names and addresses of all motor vehicle glass repair shops licensed by the department and the names of all persons whose licenses have been revoked, suspended, or surrendered and the specific time for which such suspension, revocation, or surrender became effective.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-10. Grounds for denial, suspension, or revocation of licenses.

The department may deny an application for license or suspend or revoke a license after it has been granted for any of the following reasons:

  1. On proof of unfitness of the applicant to do business as a motor vehicle glass repair shop;
  2. For any misstatement by the applicant in his, her, or its application for a license;
  3. For any failure to comply with the provisions of this chapter or with any rule or regulation promulgated by the department;
  4. For defrauding any customer;
  5. For dismantling any motor vehicle glass without the written authorization of the motor vehicle owner;
  6. For refusing to surrender any motor vehicle to its owner upon tender of payment of the proper charges for towing, storage, and work done on that motor vehicle;
  7. For having indulged in any unconscionable practice relating to the business as a motor vehicle glass repair shop;
  8. For willful failure to perform work as contracted for;
  9. For failure to comply with the safety standards of the industry;
  10. For the purchase of used vehicle parts from unlicensed entities; or
  11. For failure to comply with the requirements of displaying of licenses or notices required by this chapter.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-11. Procedure for suspension or revocation of license.

No license shall be suspended or revoked except after a hearing before the department or a hearing officer appointed by the department. The hearing shall be conducted in accordance with the administrative procedures act, chapter 35 of title 42. The order to suspend or revoke that license shall not be effective for ten (10) days after written notice has been sent to the licensee.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-12. Right to appeal.

Any licensee or applicant for license or other person in interest being aggrieved by the final order or decision of the department of business regulation has the right to appeal, pursuant to the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-13. Records — Repair bills — Disclosure.

  1. Every licensed motor vehicle glass repair shop shall maintain records for each motor vehicle upon which motor vehicle glass repair services have been performed, showing the usage of all glass parts; major accessory parts, including moldings and major hardware component parts; and the adhesive system used in the motor vehicle glass repair. The record shall also include the brand, product number, or name and lot and batch numbers for the adhesive system product used. The record shall be maintained for thirty-six (36) months or for so long as a warranty on the motor vehicle glass repair service performed is in effect, whichever is longer.
  2. Each repair bill shall:
    1. Contain the motor vehicle glass repair shop license number and the license number of any other facility where motor vehicle glass repair services are performed on the motor vehicle;
    2. Contain an itemized listing of the usage of all glass parts, major accessory parts, including moldings and major hardware component parts, and the adhesive system used in the motor vehicle glass repair;
    3. Include the brand, product number, or name and lot and batch numbers for the adhesive system product used;
    4. Include a certification, under the penalties of perjury, that the repairs to a particular vehicle have actually been made and were completed by a licensed shop and certified technician as determined by the department; and
    5. Advise the consumer of post-repair practices and the appropriate drive-away time that may be necessary to ensure safe operation of the vehicle.
  3. Upon request of a consumer, a licensed motor vehicle glass repair shop shall disclose all information relating to the charges for repair or replacement services, including the amount of the charges, the identification and line-item charges for the parts provided, and verification of the parts used, regardless of whether the amount is paid by the consumer or billed to the consumer’s insurance company.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-14. Responsibility of licensee for acts of agents.

If a licensee is a firm or corporation, it is sufficient cause for the suspension or revocation of a license that any officer, director, or trustee of the firm or corporation or any member, in the case of a partnership, has been found by the department of business regulation guilty of any act or omission that would be cause for refusing, suspending, or revoking a license to that party as an individual. Each licensee shall be responsible for the acts of any salesperson or any person acting as the agent for that licensee, and for the acts of any salesperson, estimator, or other employee acting as the agent for that licensee.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-15. Reimbursement fee.

The director of the department may assess a motor vehicle glass repair shop for reimbursement of the department’s actual expenses for the investigation and hearing of significant motor vehicle glass repair shop matters. An assessment may be sought in the event that a motor vehicle glass repair shop does not prevail after a final judicial appeal.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-16. Prohibited practices.

  1. No licensed motor vehicle glass repair shop or other person shall:
    1. Advertise for motor vehicle glass repair services in the state without including its license number issued by the department as part of the advertisement.
    2. Make any false or fraudulent statement in connection with any motor vehicle glass repair or attempt to collect for a motor vehicle glass repair; or without lawful authority, prevent the owner of a motor vehicle from recovering the same.
    3. Knowingly submit a claim to an insurer or a third-party administrator for vehicle glass repair, replacement, or for related services:
      1. If the vehicle glass was not damaged prior to repair or replacement;
      2. If the services were not provided;
      3. Showing work performed in a geographical area that in fact was not the location where the services were provided and that results in a higher payment than would otherwise be paid to the person by the policyholder’s insurer;
      4. Without having authorization by the owner, lessee, or insured driver of the vehicle for the repair of the vehicle;
      5. Showing work performed on a date other than the date the work was actually performed and resulting in a change of insurance coverage status; or
      6. Making any other material misrepresentation related to any vehicle glass services provided.
    4. Advise a policyholder to falsify the date of damage to the vehicle glass that results in a change of insurance coverage for repair or replacement of the vehicle glass.
    5. Falsely sign, on behalf of a policyholder or another person, a work order, insurance assignment form, or other related form in order to submit a claim to an insurer for vehicle glass repair or replacement or for related services.
    6. Knowingly misrepresent to a policyholder or other person:

      (i) The price of the proposed repairs or replacement being billed to the policyholder’s insurer; and

      (ii) That the insurer has authorized the repairs or replacement of the glass of the insured vehicle.

    7. Represent to a policyholder or other person that the repair or replacement will be paid for entirely by the policyholder’s insurer and at no cost or “free” to the policyholder unless the insurance coverage has been verified by an authorized representative of the insurer.
    8. Add to the damage of vehicle glass before repair in order to increase the scope of repair or replacement or encourage a policyholder or other person to add to the damage of vehicle glass before repair.
    9. Perform work clearly and substantially beyond the level of work necessary to repair or replace the vehicle glass to return the vehicle back to a safe, pre-loss condition.
    10. Perform work as an unlicensed motor vehicle glass repair shop.
    11. Perform work inconsistent with standards established by the American National Standards Institute (ANSI) related to repair of laminated automotive glass and auto glass replacement.
  2. It is unlawful for a person who sells or repairs and replaces motor vehicle glass to intentionally misrepresent the relationship of the licensed motor vehicle glass repair shop to an insurer.
  3. A licensed motor vehicle glass repair shop, including any agent, contractor, vendor, representative, or anyone acting on its behalf, must not:
    1. Threaten, coerce, or intimidate a person to file a claim for motor vehicle glass repair or replacement.
    2. Engage in unfair or deceptive practices to induce a person to file a motor vehicle glass repair claim.
    3. Induce a person to file a motor vehicle glass repair claim when the damage to the motor vehicle glass is insufficient to warrant vehicle glass repair or replacement.
    4. Perform motor vehicle glass repair or replacement services under an insurance policy without first obtaining insurer approval.
  4. A violation of this section is subject to enforcement under this chapter.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-17. Civil penalties for violations.

In addition to every other power granted to the department of business regulation, the department may fine a licensee not more than one hundred dollars ($100) for any violation or failure to comply with the provisions of this chapter or with any rule or regulation promulgated by the department.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-18. Criminal penalties for violations — Injunctive relief.

  1. Any person, firm, or corporation required to be licensed under this chapter who or that conducts a motor vehicle glass repair shop business without obtaining a license, or who, after the denial, suspension, or revocation of a license, conducts that business, is guilty of a misdemeanor and shall, upon conviction, be punished by a fine of not more than one thousand dollars ($1,000), or imprisonment for not more than one year, or both; for a second conviction, is guilty of a felony and shall, upon conviction, be punished by a fine of not less than one thousand dollars ($1,000) and not more than five thousand dollars ($5,000), or by imprisonment for not more than two (2) years, or both; and for a third and subsequent conviction, is guilty of a felony and shall, upon conviction, be punished by a fine of not less than five thousand dollars ($5,000), or imprisonment for not less than two (2) years nor more than five (5) years, or both. For the purposes of this section, a plea of nolo contendere with probation shall be considered a conviction.
  2. If the department has reason to believe that any person, firm, corporation, or association is conducting a motor vehicle glass repair shop business without obtaining a license, or who after the denial, suspension, or revocation of a license is conducting that business, the department may issue its order to that person, firm, corporation, or association commanding them or it to appear before the department at a hearing to be held not sooner than ten (10) days after issuance of that order to show cause why the department should not issue an order to that person to cease and desist from the violation of the provisions of this chapter. That order to show cause may be served on any person, firm, corporation, or association named by any person in the same manner that a summons in a civil action may be served, or by mailing a copy of the order, certified mail, return receipt requested, to that person at any address at which that person has done business or at which that person lives. If during that hearing the department is satisfied that the person is in fact violating any provision of this chapter, the department may order that person, in writing, to cease and desist from that violation. All hearings herein are governed in accordance with the administrative procedures act, chapter 35 of title 42. If that person fails to comply with an order of the department after being afforded a hearing, the superior court for Providence County has jurisdiction upon complaint of the department to restrain and enjoin that person from violating this chapter.

History of Section. P.L. 2015, ch. 146, § 1.

5-38.5-19. Severability.

The provisions of this chapter are severable; and if any of the provisions are held to be invalid, the decision of the court respecting that provision or provisions shall not affect the validity of any other provision that can be given effect without that invalid provision.

History of Section. P.L. 2015, ch. 146, § 1.

Chapter 39 Social Workers [Repealed.]

5-39-1 — 5-39-25. [Repealed.]

Repealed Sections.

Former §§ 5-39-1 — 5-39-25 (P.L. 1961, ch. 146, § 1; Reorg. Plan No. 1, 1970; P.L. 1984, ch. 408, §§ 1 and 2; P.L. 1990, ch. 505, § 1), concerning certification of social workers, were repealed by P.L. 1994, ch. 77, § 1, effective June 23, 1994, and by P.L. 1994, ch. 102, § 1, effective July 1, 1994. For present comparable provisions, see § 5-39.1-1 et seq.

Chapter 39.1 License Procedure for Social Workers

5-39.1-1. Short title.

This chapter shall be known and may be cited as the “Rhode Island Social Worker License Act.”

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2.

Comparative Legislation.

Social workers:

Mass. Ann. Laws ch. 112, § 130 et seq.

Collateral References.

Cause of action for clergy malpractice. 75 A.L.R.4th 750.

5-39.1-2. Definitions.

As used in this chapter:

  1. “Board” means the state board of social work examiners for licensure of social workers.
  2. “Clinical social work practice” means the professional application of social-work theories, methods, and values in the diagnosis, assessment, and treatment of cognitive, affective, and behavioral disorders arising from physical, environmental, or emotional conditions. Clinical social-work services include, but are not limited to, diagnosis; assessment; evaluation; psychotherapy and counseling for individuals, couples, families, and groups; client-centered advocacy; consultation; and supervision. Clinical social-work services do not include psychological testing, and nothing in this chapter shall be construed to permit social workers to practice psychology.
  3. “Continuing education hours” means actual hours earned in continuing education courses, seminars, and workshops.
  4. “Department” means the Rhode Island department of health.
  5. “Director” means the director of the Rhode Island department of health.
  6. “Division” means the division of professional regulation in the Rhode Island department of health.
    1. “Experience” means three thousand (3,000) hours of post-master’s practice of clinical social work during a twenty-four (24) to seventy-two (72) month period of time immediately preceding the date of application for licensure.
    2. One thousand five hundred (1,500) hours must consist of providing clinical social-work services directly to clients.
  7. “Supervision” means face-to-face contact with a licensed independent clinical social worker for the purpose of apprising the supervisor of the diagnosis, assessment, and treatment of each client; receiving oversight and guidance from the supervisor in the delivery of clinical social-work services to each client; and being evaluated by the supervisor. This contact must consist of:
    1. A minimum of two (2) hours of supervision every two (2) weeks;
    2. A minimum of one hour of supervision per twenty (20) hours of direct contact with clients, whether or not the number of hours of supervision required for a two-week (2) period have been met;
    3. One-to-one contact with the supervisor at least seventy-five percent (75%) of the time with group supervision of no more than ten (10) supervisees during the balance of the time; and
    4. Supervision by an individual other than the applicant’s parents, spouse, former spouse, siblings, children, employees, or anyone sharing the same household or any romantic, domestic, or familial relationship.

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2.

5-39.1-3. Title and practice regulation.

  1. Any individual licensed under this chapter may use the title “licensed clinical social worker” and the abbreviation “L.C.S.W.” or the title “licensed independent clinical social worker” and the abbreviation “L.I.C.S.W.”; provided, that the title and abbreviation correspond to the license held pursuant to this chapter.
  2. No individual shall represent herself or himself as a “licensed clinical social worker,” “L.C.S.W.,” “licensed independent clinical social worker,” or “L.I.C.S.W.” unless he or she is licensed as a “licensed clinical social worker” or “licensed independent clinical social worker” pursuant to this chapter and unless the title and abbreviation correspond to the license held pursuant to this chapter.
  3. Those currently holding the title “certified social worker” and “certified independent social worker” shall assume the titles “licensed clinical social worker” and “licensed independent social worker,” respectively. These licensees are exempt from the examination but shall be required to fulfill all other criteria for licensure as defined in this chapter.
  4. No individual shall use “licensed social worker,” “clinical social worker,” “psychiatric social worker,” or any other designation implying qualification to practice clinical social work unless he or she is licensed as a “licensed clinical social worker” or “licensed independent clinical social worker” pursuant to this chapter.
  5. Any individual licensed as a “licensed clinical social worker” and under supervision, as defined in this chapter, shall be permitted to practice clinical social work, whether in a private practice or in association with a public or private agency or institution.
  6. Any individual licensed as a “licensed independent social worker” shall be permitted to practice clinical social work autonomously, whether in a private practice or in association with a public or private agency or institution.
  7. No individual shall engage in the practice of clinical social work unless he or she holds an active license as a “licensed clinical social worker” or “licensed independent clinical social worker.”
  8. Notwithstanding any provisions in §§ 5-39.1-1 5-39.1-1 4 or any other general or public law to the contrary, any nursing facility licensed under chapter 17 of title 23 that employs a social worker or social-worker designee who meets all of the following criteria shall be granted a variance to the “qualified social worker” provisions of section 29 (or any comparable or successor section) of the rules and regulations for licensing of nursing facilities promulgated by the department of health. Such criteria shall be limited to: (1) Meets the Centers for Medicare and Medicaid services requirements for long-term-care facilities under 42 C.F.R. part 483, subpart B (or any successor regulation); (2) Is currently employed by a nursing facility licensed under chapter 17 of title 23; and (3) Has been continuously employed in a nursing facility licensed under chapter 17 of title 23 commencing on or before July 1, 2003.

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2; P.L. 2004, ch. 214, § 1; P.L. 2004, ch. 309, § 1.

5-39.1-4. Social worker privilege — Applicability of chapter.

  1. No licensee under this chapter or an employee of a licensee may disclose any information acquired from clients or persons consulting with the licensee to render professional services except:
    1. With the written consent of the person(s) or, in the case of death or disability, of the individual’s personal representative, or person authorized to sue, or the beneficiary of an insurance policy on an individual’s life, health, or physical conditions;
    2. When there is a clear and present danger to the safety of the patient or client or to other individuals;
    3. When a person is a minor under the laws of this state and the information acquired by the licensee involves abuse of the minor, the licensee is required to report this pursuant to § 40-11-3 and may be required to testify fully in an examination, trial, or other proceeding in which the commission of this crime is the subject of inquiry;
    4. When the person licensed or certified under this chapter is a party defendant to a civil, criminal, or disciplinary action arising from a complaint filed by the patient or client, in which case the waiver shall be limited to that action;
    5. When the licensee is called upon to testify in court or administrative hearings concerning the potential for abuse or neglect in foster and adoptive placements; or
    6. When the licensee is collaborating or consulting with an administrative superior on behalf of the client.
  2. The provisions of this chapter do not apply to the following individuals:
    1. Qualified members of other professions or occupations engaging in practices similar in nature to clinical social work; provided, that they are authorized by the laws of this state to engage in similar practices, do not represent themselves as a “licensed clinical social worker” or “licensed independent clinical social worker”, and do not characterize their practices as clinical social work;
    2. Students engaged in doctorate or master’s-level study in a school of social work accredited by the council on social work education; provided, that the students are practicing as part of a supervised course of study and designated by such titles as “social-work intern”, “social-work trainee”, “social-work student”, or others clearly indicating training status;
    3. State employees; or
    4. Individuals who have attained a masters of social work from an accredited college or university within the last eighteen (18) months as long as that individual meets all of the following conditions:
      1. The individual is authorized to take the examination required pursuant to regulations promulgated by the department, and has not previously failed that examination more than once;
      2. The individual performs all such social work services under the direct personal supervision of a person who holds a valid Rhode Island license as a licensed independent clinical social worker pursuant to § 5-39.1-8 ;
      3. The individual is designated or identified as “social-work intern”, “social-work trainee” or other clearly indicating training status; and
      4. The individual does not hold themselves out to the public as any title or description  that states or implies that the individual is licensed to practice social work in Rhode Island.

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2; P.L. 2022, ch. 165, § 1, effective June 27, 2022; P.L. 2022, ch. 166, § 1, effective June 27, 2022.

5-39.1-5. Agency powers.

The department of health shall promulgate rules and regulations that may be reasonably necessary for the administration of this chapter and to further its purposes. The department of health, on the recommendation of the board of social work examiners, shall:

  1. Issue licenses to those qualified under this chapter;
  2. Examine individuals seeking licensure and pass on the examinations; and
  3. Determine if applicants are qualified for licensure.

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2.

5-39.1-6. Board of social work examiners.

  1. Within the department, there is established a board of social work examiners.
  2. The governor shall appoint a board consisting of seven (7) members. Two (2) shall be social workers; two (2) shall be licensed clinical social workers; and two (2) shall be licensed independent clinical social workers (for the purposes of initial appointments, certified social workers represent licensed clinical social workers and certified independent social workers represent licensed independent social workers). One member shall be a public member. At least one member shall be a NASW member.
  3. All board members shall be appointed for a term of three (3) years. No member shall serve more than nine (9) consecutive years. In the event a member cannot complete his or her term, a successor shall be appointed to serve the unexpired term.
  4. Terms of initial members shall be staggered with two (2) members appointed for a one year term, two (2) for two (2) years, and three (3) for three-year (3) terms.
  5. The governor may remove any member of the board for cause.

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2.

5-39.1-7. Powers and duties of the board.

  1. The organization, meetings, and management of the board shall be established by regulations promulgated by the department of health.
  2. In addition to the duties described in this chapter, the board shall:
    1. Examine and pass on the qualifications of all applicants for licensure under this chapter, and recommend to the director that a license shall be issued to each qualified successful applicant, attesting to the applicant’s professional qualification to practice as a “licensed clinical social worker” or a “licensed independent clinical social worker”;
    2. Approve, oversee, and be responsible for all examinations for licensure under this chapter;
    3. Recommend that the director adopt rules and regulations that set professional practice standards for LCSWs and LICSWs;
    4. Establish standards for the continuing education of social workers;
    5. Recommend modifications or amendments deemed necessary to effectuate its purpose;
    6. Be responsible for all disciplinary functions carried out regarding all licensees under this chapter; and
    7. Have any other powers that may be required to carry out the provisions of this chapter.

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2.

5-39.1-8. Licenses.

  1. The department shall issue the appropriate license to applicants who meet the qualifications of this section.
  2. Prerequisites: “Licensed clinical social worker.”  A license as a “licensed clinical social worker” shall be issued to an applicant who meets the following qualifications:
    1. Has a doctorate in clinical social work from a duly accredited college or university or master’s degree from a school of social work accredited by the council on social work education; and
    2. Has satisfactorily completed an examination for this license; or
    3. Has a comparable license, certification, or registration from the state, or another state or territory of the United States that imposes qualifications substantially similar to those of this chapter, as determined by the board.
  3. Prerequisites: “Licensed independent clinical social worker.”  A license for a “licensed independent clinical social worker” shall be issued to an applicant who meets the following qualifications:
    1. Is licensed under this chapter as a “licensed clinical social worker”; and
    2. Has twenty-four (24) months of experience acceptable to the board, under appropriate supervision; and
    3. Has fulfilled the continuing education requirements for this license; and
    4. Has satisfactorily completed an examination for this license; or
    5. Has a comparable license, certification, or registration from the state, or another state or territory of the United States that imposes qualifications substantially similar to those of this chapter.
  4. In addition to these qualifications, an applicant for any of these titles must prove to the board’s satisfaction:
    1. An age of at least twenty-one (21) years;
    2. That he or she merits the public trust;
    3. A United States citizenship or proof of other legal resident status;
    4. An absence of conviction of a felony, which is subject to waiver by the board upon presentation of satisfactory evidence that this conviction does not impair the ability of the person to conduct with safety to the public the practice authorized by this license. The applicant shall bear the burden of proving that his or her conviction does not impair his or her ability to conduct with safety to the public the practice authorized by this license;
    5. An absence of NASW sanction for violation of code of ethics, or other state-board sanction which is subject to waiver by the board upon presentation of satisfactory evidence that this sanction does not impair the ability of the person to conduct with safety to the public the practice authorized by this license. The applicant bears the burden of proving that his or her sanction does not impair his or her ability to conduct with safety to the public the practice authorized by this license;
    6. That the applicant has not been declared mentally incompetent by any court, and if any decree has ever been rendered, that there has been a subsequent court determination that the applicant is competent; and
    7. Freedom from use of any controlled substance or any alcoholic beverages to the extent that the use impairs the ability of the person to conduct with safety to the public the practice authorized by this license. The applicant bears the burden of proving that he or she is free from use of any controlled substance or any alcoholic beverages that impair his or her ability to conduct with safety to the public the practice authorized by this license.

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2; P.L. 2001, ch. 169, § 1.

5-39.1-9. Fees and renewal.

The initial fee for application for licensure and the renewal fee every twenty-four (24) months after initial licensure shall be as set forth in § 23-1-54 . Renewal shall be approved upon payment of the fee and in compliance with any additional requirements that the board promulgates.

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2; P.L. 2001, ch. 77, art. 14, § 14; P.L. 2007, ch. 73, art. 39, § 12; P.L. 2012, ch. 241, art. 9, § 14.

5-39.1-10. Social worker discipline.

Licensees subject to this chapter shall conduct their activities, services, and practice in accordance with this chapter and with any rules promulgated pursuant to this chapter. The board may recommend to the director refusal to grant a license to, or may recommend that the director suspend, revoke, condition, limit, qualify, or restrict the license of any individual who the board, after a hearing, determines:

  1. Is incompetent to practice under the provisions of this chapter, or is found to engage in the practice of social work in a manner harmful or dangerous to a client or to the public;
  2. Has obtained or attempted to obtain a certificate or license, or renewal of a certificate or license, by bribery or fraudulent representation;
  3. Has knowingly made a false statement on a form required by the board for licensing or renewal of license;
  4. Has failed to obtain the continuing education credits required by the board;
  5. Has engaged in or solicited sexual relations with a client, or committed an act of sexual abuse or sexual misconduct against a past or current client;
  6. Has failed to remain free from use of any controlled substance or any alcoholic beverages to the extent that the use impairs the ability of the person to conduct with safety to the public the practice authorized by this license. The applicant bears the burden of proving that he or she is free from use of any controlled substance or any alcoholic beverages that impair his or her ability to conduct with safety to the public the practice authorized by this license;
  7. Has been convicted of a felony, which is subject to waiver by the board upon presentation of satisfactory evidence that this conviction does not impair the ability of the person to conduct with safety to the public practice authorized by this license. The applicant bears the burden of proving that his or her conviction does not impair his or her ability to conduct with safety to the public the practice authorized by this license;
  8. Has disciplinary action pending or has revocation, suspension, or probation taken against the licensee’s license in another state;
  9. Assists or permits unlicensed persons under the licensee’s supervision to perform services for which a license is required under this chapter;
  10. Has failed to maintain confidentiality, except as required or permitted by law;
  11. Has engaged in false or misleading advertising;
  12. Has a mental disability that significantly impairs the ability of the person to conduct with safety to the public the practice authorized by this license. Mental disability includes, but is not limited to, an order by a court that a licensee is in need of mental treatment for incompetence; or
  13. Has violated any of the provisions of this chapter, or the provisions of any code of ethics adopted by the board.

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2.

5-39.1-11. Complaints.

All complaints concerning a licensee’s business or professional practice shall be received by either the board or the state agency. Each complaint received shall be logged, recording at a minimum the following information:

  1. Licensee’s name;
  2. Name of the complaining party;
  3. Date of complaint;
  4. Brief statement of complaint; and
  5. Disposition.

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2.

5-39.1-12. Disciplinary process.

  1. Disciplinary procedures under this chapter shall be conducted in accordance with the administrative procedures act, chapter 35 of title 42.
  2. The board or its designee shall hear evidence produced in support of the formal charges and contrary evidence produced by the licensee. At the conclusion of the hearing, the board shall make recommendation to the director who shall issue an order.

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2.

5-39.1-13. Disciplinary sanctions.

  1. The board may recommend that the director impose any of the following sanctions, singly or in combination, when it finds that a licensee is guilty of any offenses described in § 5-39.1-10 :
    1. Revoke the license;
    2. Suspend the license for any period of time;
    3. Censure the licensee;
    4. Issue a letter of reprimand;
    5. Place a licensee on probationary status and require the licensee to submit to any of the following:
      1. Report regularly to the board upon matters that are the basis of probation;
      2. Continue to renew professional education until a satisfactory degree of skill has been attained in those areas that are the basis of probation;
    6. Refuse to renew a license; or
    7. Revoke probation that has been granted and impose any other discipline provided in this section when the requirements of probation have not been fulfilled or have been violated.
  2. The board may recommend that the director reinstate any licensee to good standing under this chapter, if, after a hearing, the board is satisfied that the applicant’s renewed practice is in the public interest.
  3. Upon the suspension or revocation of a license issued under this chapter, a licensee shall be required to surrender the license or registration to the director, and upon failure to do so, the director has the right to seize the license or registration.
  4. The director shall make available annually a list of the names and addresses of all licensees under the provisions of this chapter, and of all persons who have been disciplined within the preceding twelve (12) months.
  5. Any person convicted of violating the provisions of this chapter or a rule promulgated under this chapter is guilty of a misdemeanor, punishable by a fine of not more than one thousand dollars ($1,000).

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2.

5-39.1-14. Severability.

The provisions of this chapter are severable and if any of this chapter’s provisions are held unconstitutional by any court of competent jurisdiction, the decision of that court shall not affect or impair any of the remaining provisions.

History of Section. P.L. 1994, ch. 77, § 2; P.L. 1994, ch. 102, § 2.

Chapter 40 Physical Therapists

5-40-1. Definitions.

As used in this chapter:

  1. “Board” means the board of physical therapy established by § 5-40-2 .
  2. “Department” means the department of health.
  3. “Diagnostic imaging” means techniques used to capture an image of a body part. For purposes of this chapter, diagnostic imaging shall include basic radiological imaging, commonly referred to as x-ray imaging, but shall not include other methodologies such as computer topography scan, ultrasound, bone scan, magnetic resonance imaging (MRI), or positron emission tomography scan.
  4. “Examination” means an examination approved by the department in consultation with the board.
  5. “License” means a license issued by the department to practice physical therapy.
  6. “Physical therapist” means an individual who is licensed by the department to practice physical therapy.
  7. “Physical therapist assistant” means an individual who is licensed by the department to assist in the practice of physical therapy under the supervision of a physical therapist.
  8. “Physical therapy” means the care and services provided by or under the direction and supervision of a physical therapist who is licensed pursuant to this chapter.
  9. “Practice of physical therapy” means:
      1. Examination, evaluation, treatment, and instruction of patients/clients to detect, assess, prevent, correct, alleviate, and limit physical disability, physical dysfunction, and pain from injury, disease, and any other bodily conditions;
      2. Administration, interpretation, and evaluation of tests and measurements of bodily functions and structures;
      3. The planning, administration, evaluation, and modification of treatment and instruction, including the use of physical measures, activities, and devices, for preventive and therapeutic purposes;
      4. The provision of consultative, educational, and other advisory services for the purpose of reducing the incidence and severity of physical disability, physical dysfunction, and pain; and
      5. Ordering diagnostic imaging and studies that are performed and interpreted by other licensed healthcare professionals pursuant to the provisions of § 5-40-23 .
    1. The practice of physical therapy does not include the practice of medicine as defined in chapter 37 of this title.
  10. “Supervision” means that a licensed physical therapist is at all times responsible for supportive personnel and students.

History of Section. P.L. 1982, ch. 261, § 2; P.L. 1988, ch. 359, § 1; P.L. 1988, ch. 434, § 1; P.L. 1992, ch. 232, § 1; P.L. 2003, ch. 133, § 1; P.L. 2003, ch. 152, § 1; P.L. 2017, ch. 130, § 1; P.L. 2017, ch. 312, § 1; P.L. 2021, ch. 207, § 1, effective July 7, 2021; P.L. 2021, ch. 327, § 1, effective July 9, 2021.

Compiler's Notes.

P.L. 2021, ch. 207, § 1, and P.L. 2021, ch. 327, § 1 enacted identical amendments to this section.

Repealed Sections.

The former chapter, §§ 5-40-1 — 5-40-25 (P.L. 1962, ch. 211, § 2; P.L. 1963, ch. 47, § 1; P.L. 1976, ch. 159, § 1; P.L. 1978, ch. 65, § 1), was repealed by P.L. 1982, ch. 261, § 1 and replaced by the present chapter on the same subject.

Comparative Legislation.

Physical therapists:

Conn. Gen. Stat. § 20-66 et seq.

Mass. Ann. Laws ch. 112, § 23A et seq.

5-40-2. Board of physical therapy — Creation — Composition.

Within the division of professional regulation of the department of health, there is a board of physical therapy consisting of seven (7) members as provided by § 5-40-3 .

History of Section. P.L. 1982, ch. 261, § 2; P.L. 2003, ch. 133, § 1; P.L. 2003, ch. 152, § 1.

5-40-3. Board of physical therapy — Composition — Appointment, terms, oath, and removal of members.

  1. In the month of June, 1983, and annually thereafter, the director of health, with the approval of the governor, appoints the appropriate number of persons to serve on the board for terms of three (3) years and until his or her successor has been appointed and qualified. The board shall consist of seven (7) members appointed by the director of the department of health with the approval of the governor. Four (4) members shall be licensed physical therapists; one member shall be a licensed physical therapist assistant; one member shall be a physician licensed to practice medicine in this state; and one member shall be a consumer.
  2. No member shall serve for more than two (2) successive terms. The director of health may remove any member from the board for neglect of any duty required by law or for any incompetency, unprofessional or dishonorable conduct. Vacancies created by voluntary resignation or removal by the director of health shall be filled in the same manner as the original appointment is made for the remainder of the term not exceeding the original two-term (2) limitation.
  3. Before beginning a term, each member of the board shall take the oath prescribed by law for state officers that shall be filed with the secretary of state.

History of Section. P.L. 1982, ch. 261, § 2; P.L. 2003, ch. 133, § 1; P.L. 2003, ch. 152, § 1.

Cross References.

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

5-40-4. Board of physical therapy — Organization and meetings.

The board shall organize immediately after the appointment and qualification of its members. The board shall elect annually a chairperson and secretary. The board shall meet at least semiannually. Meetings may also be called at any time by the chairperson, or the director of the department of health, or the administrator of the division of professional regulation, or by written request of two (2) members of the board. A majority of the fully authorized board constitutes a quorum to do business.

History of Section. P.L. 1982, ch. 261, § 2.

5-40-5. Board of physical therapy — General powers.

The board is authorized to recommend to the director of the department of health for his or her approval the adoption and revision of rules and regulations, not inconsistent with law, that are necessary to enable it to carry into effect the provisions of this chapter. The board shall recommend for licensure only qualified applicants. The board shall review applicants at least twice a year. The board shall recommend the tests that applicants for licensure take. The department shall adopt policies to be followed in the examination, licensure, and renewal of license of duly qualified applicants. The board shall conduct hearings upon charges calling for the discipline of a licensee or revocation of a license. The department has the power to issue subpoenas and compel the attendance of witnesses and administer oaths to persons giving testimony at hearings. The board or the director of the department of health shall prosecute all persons violating this chapter and has the power to incur necessary expenses of prosecution. The board shall keep a record of all of its proceedings. The board may utilize other persons as necessary to carry on the work of the board.

History of Section. P.L. 1982, ch. 261, § 2; P.L. 2003, ch. 133, § 1; P.L. 2003, ch. 152, § 1.

5-40-6. Qualification of physical therapists.

Any applicant for licensure shall submit to the board written evidence on forms furnished by the department of health that the applicant meets all of the following requirements:

  1. Is at least eighteen (18) years of age;
  2. Is of good moral character;
  3. Has graduated from an education program in physical therapy accredited by the Commission on Accreditation of Physical Therapy Education (CAPTE) or other accrediting agency as approved by the department in consultation with the board in the year of the applicant’s graduation; and
  4. Has passed the National Physical Therapy Examination (NPTE) of the Federation of State Boards of Physical Therapy (FSBPT) or other physical therapy certification examination as approved by the department in consultation with the board to determine the applicant’s fitness to engage in the practice of physical therapy.

History of Section. P.L. 1982, ch. 261, § 2; P.L. 2003, ch. 133, § 1; P.L. 2003, ch. 152, § 1; P.L. 2018, ch. 176, § 11; P.L. 2018, ch. 289, § 11.

5-40-6.1. Qualifications of physical therapist assistants.

Any applicant for licensure shall submit to the board written evidence on forms furnished by the department of health that the applicant meets all of the following requirements:

  1. Is at least eighteen (18) years of age;
  2. Is of good moral character;
  3. Has graduated from an educational program in physical therapy accredited by the Commission on Accreditation of Physical Therapy Education (CAPTE) or other accrediting agency as approved by the department in consultation with the board in the year of the applicant’s graduation; and
  4. Has passed the National Physical Therapy Examination (NPTE) of the Federation of State Boards of Physical Therapy (FSBPT) or other physical therapy assistant certification examination as approved by the department in consultation with the board to determine the applicant’s fitness to engage in the practice of physical therapy.

History of Section. P.L. 1988, ch. 359, § 2; P.L. 2003, ch. 133, § 1; P.L. 2003, ch. 152, § 1; P.L. 2018, ch. 176, § 11; P.L. 2018, ch. 289, § 11.

5-40-7. Licensing of physical therapists.

  1. By Examination.  The applicant is required to pass with a grade determined by the board, an examination approved by the department in consultation with the board; physical therapists licensed under the provisions of this chapter on August 31, 1982, shall continue to be licensed.
  2. Without Examination by Endorsement.  A license to practice physical therapy may be issued without examination to an applicant who has been licensed by examination as a physical therapist under the laws of another state or territory or District of Columbia, if, in the opinion of the board, the applicant meets the qualifications required of physical therapists in this state.
    1. Graduate Practice.  Every graduate of a board-approved physical therapy school who has filed a physical therapy application may, upon receiving a permit from the department of health, perform as a physical therapist under the supervision of a physical therapist licensed in this state.
    2. During this period, the applicant shall identify him or herself only as a “graduate physical therapist.”
    3. If the applicant fails to take the examination, as specified in subsection (a), within ninety (90) days from effective date of graduate status, without cause, or fails to pass the examination and receive a license, all privileges provided in subsections (c)(1) and (c)(2) automatically cease.
    1. Foreign-Trained Applicants.  If the foreign-trained applicant has successfully met the requirements of the rules and regulations, the applicant’s credentials shall be accepted by the board.
    2. Prior to becoming licensed in this state, the foreign-trained applicant must also meet all of the appropriate requirements described in this section or its equivalent as established in rules and regulations.

History of Section. P.L. 1982, ch. 261, § 2; P.L. 2003, ch. 133, § 1; P.L. 2003, ch. 152, § 1.

Collateral References.

Licensing and regulation of practice of physical therapy. 8 A.L.R.5th 825.

5-40-7.1. Licensing of physical therapist assistants.

  1. By examination.  The applicant is required to pass with a grade determined by the board an examination approved by the department in consultation with the board.
  2. Without examination by endorsement.  A license may be issued without examination to an applicant who has been licensed by examination as a physical therapist assistant under the laws of another state or territory or District of Columbia, if, in the opinion of the board, the applicant meets the qualifications required of physical therapist assistants in this state.
    1. Graduate practice.  Every graduate of a board-approved physical therapist assistant educational program who has filed a physical therapy application may, upon receiving a permit from the department of health, perform as a physical therapist assistant under the supervision of a physical therapist licensed in this state.
    2. During this period, the applicant shall identify himself or herself only as a “graduate physical therapist assistant.”
    3. If the applicant fails to take the examination, as specified in subsection (a), within ninety (90) days from the effective date of graduate status, without cause or fails to pass the examination and receive a license, all privileges provided in subsections (c)(1) and (c)(2) automatically cease.
    1. Foreign-trained applicants.  If the foreign-trained applicant has successfully met the requirements of the rules and regulations, the applicant’s credentials shall be accepted by the board.
    2. Prior to becoming licensed in this state, the foreign-trained applicant must also meet all of the appropriate requirements described in this section or its equivalent as established in rules and regulations.

History of Section. P.L. 1988, ch. 359, § 2; P.L. 2003, ch. 133, § 1; P.L. 2003, ch. 152, § 1; P.L. 2019, ch. 308, art. 1, § 19.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-40-8. Application fee for physical therapists.

When an application is submitted to the division of professional regulation for a license to practice physical therapy in Rhode Island pursuant to this chapter, either by endorsement or by examination, the applicant shall pay a fee as set forth in § 23-1-54 to the state department of health.

History of Section. P.L. 1982, ch. 261, § 2; P.L. 1986, ch. 235, § 1; P.L. 1988, ch. 359, § 1; P.L. 2001, ch. 77, art. 14, § 15; P.L. 2007, ch. 73, art. 39, § 13; P.L. 2012, ch. 241, art. 9, § 15.

5-40-8.1. Application fee for physical therapist assistants.

When an application is submitted to the department for a license to practice physical therapy in Rhode Island pursuant to this chapter, either by endorsement or by examination, the applicant shall pay a fee as set forth in § 23-1-54 to the general treasurer of the state of Rhode Island.

History of Section. P.L. 2003, ch. 133, § 2; P.L. 2003, ch. 152, § 2; P.L. 2007, ch. 73, art. 39, § 13; P.L. 2012, ch. 241, art. 9, § 15.

5-40-9. Right of use of the title of physical therapist.

  1. To safeguard the welfare and health of the people of the state, it is unlawful for any person to represent himself or herself as a physical therapist or physical therapist assistant in this state or to use any title, abbreviation, sign, or device to indicate that the person is a physical therapist or physical therapist assistant unless this person has been licensed pursuant to the provisions of §§ 5-40-7 and 5-40-7 .1.
  2. A physical therapist shall use the letters “PT” or the term “physical therapist” immediately following his or her name to designate licensure under this chapter. A person or business entity, its employees, agents, or representatives shall not use in connection with that person’s name or the name or activity of the business, the words “physical therapy,” “physical therapist,” “registered physical therapist,” the letters “PT,” “DPT,” “LPT,” “RPT,” “SPT,” or any other words, abbreviations, or insignia, indicating or implying, directly or indirectly, that physical therapy is provided or supplied, unless the services are provided by or under the direction of a physical therapist licensed pursuant to this chapter. A person who or business entity shall not advertise or otherwise promote another person as being a “physical therapist” unless the individual so advertised or promoted is licensed as a physical therapist pursuant to this chapter. A person who or business entity that offers, provides, or bills any other person for services shall not characterize those services as “physical therapy” unless the individual performing those services is a person under the direction or supervision of a physical therapist pursuant to this chapter.
  3. The abbreviation “G.P.T.” shall be used to identify a “graduate physical therapist” authorized to perform as a graduate physical therapist pursuant to this chapter.
  4. A physical therapist assistant shall use the letters “PTA” immediately following his or her name to designate licensure under this chapter.
  5. A person shall not use the title “physical therapist assistant” or “graduate physical therapist assistant” and the letters “PTA” or “GPTA,” or any other words, abbreviations, or insignia in connection with that person’s name, to indicate or imply, directly or indirectly, that the person is a physical therapist assistant unless that person is licensed as a physical therapist assistant pursuant to this chapter.

History of Section. P.L. 1982, ch. 261, § 2; P.L. 1988, ch. 359, § 1; P.L. 2017, ch. 130, § 1; P.L. 2017, ch. 312, § 1; P.L. 2019, ch. 308, art. 1, § 19.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-40-10. Continuing education requirements and expiration and renewal of licenses.

  1. The certificate of every person licensed under the provisions of this chapter shall expire on the first day of May of the next even year following the date of original licensure. On or before the first day of March of each year, the department shall mail an application for renewal of license to every person to whom a license has been issued or renewed during the current licensure period. Every licensed person who desires to renew his or her license shall provide satisfactory evidence to the department that in the preceding two (2) years the practitioner has completed the twenty-four (24) required continuing education hours as established by the department through rules and regulations and shall file with the department a renewal application executed together with a renewal fee as set forth in § 23-1-54 on or before the thirty-first day of March of each even year. The department may extend for only one six-month (6) period these educational requirements if the department is satisfied that the applicant has suffered hardship that prevented meeting the educational requirement.
  2. Upon receipt of the renewal application, and payment of the renewal fee, the accuracy of the application shall be verified and the department shall grant a renewal license effective the second day of May, and expiring on the first day of May of the next even year.
  3. Any person who allows his or her license to lapse by failing to renew it on or before the thirty-first day of March of the next even year, as provided in this section, may be reinstated by the department on payment of the current renewal fee plus an additional fee as set forth in § 23-1-54 .
  4. Any person using the title “physical therapist” or “physical therapist assistant” during the time that his or her license has lapsed is subject to the penalties provided for violations in this chapter.

History of Section. P.L. 1982, ch. 261, § 2; P.L. 1988, ch. 359, § 1; P.L. 1993, ch. 138, art. 71, § 2; P.L. 2001, ch. 77, art. 14, § 15; P.L. 2007, ch. 27, § 1; P.L. 2007, ch. 40, § 1; P.L. 2007, ch. 73, art. 39, § 13; P.L. 2012, ch. 241, art. 9, § 15.

5-40-11. Register of physical therapists — Records — Issuance of licenses.

  1. The department shall maintain a register of all persons licensed under this chapter that shall be open at all reasonable times to public inspection and the department shall be the custodian of all records pertaining to the licensure of physical therapists or physical therapist assistants.
  2. The director of the department of health shall issue licenses only to applicants who meet the requirements of this chapter.

History of Section. P.L. 1982, ch. 261, § 2; P.L. 1988, ch. 359, § 1; P.L. 2003, ch. 133, § 1; P.L. 2003, ch. 152, § 1.

5-40-12. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1982, ch. 261, § 2; P.L. 1989, ch. 126, art. 26, § 5; P.L. 1995, ch. 370, art. 40, § 21.

5-40-13. Grounds for discipline of licensees.

  1. The board has power to deny, revoke, or suspend any license issued by the department or applied for in accordance with this chapter, or to discipline a person licensed under this chapter, upon proof that the person has engaged in unprofessional conduct including, but not limited to:
    1. Fraud or deceit in procuring, or attempting to procure, a license or in the practice of physical therapy;
    2. Is habitually intemperate or is addicted to the use of habit-forming drugs;
    3. Is mentally or professionally incompetent;
    4. Has repeatedly violated any of the provisions of this chapter;
    5. Providing services to a person who is making a claim as a result of a personal injury, who charges or collects from the person any amount in excess of the reimbursement to the physical therapist by the insurer as a condition of providing or continuing to provide services or treatment;
    6. Conviction, including a plea of nolo contendere, of one or more of the offenses listed in § 23-17-37 ;
    7. Abandonment of a patient;
    8. Promotion by a physical therapist or physical therapist assistant of the sale of drugs, devices, appliances, or goods or services provided for a patient in a manner as to exploit the patient for the financial gain of the physical therapist or physical therapist assistant;
    9. Making or filing false reports or records in the practice of physical therapy;
    10. Repeated failure to file or record, or impede or obstruct a filing or recording, or inducing another person to fail to file or record physical therapy reports;
    11. Failure to furnish patient records upon proper request;
    12. Practice as a physical therapist assistant without supervision by a physical therapist licensed in the state of Rhode Island;
    13. Incompetent or negligent misconduct in the practice of physical therapy;
    14. Revocation, suspension, surrender, or limitation of privilege based on quality of care provided or disciplinary action against a license to practice as a physical therapist or physical therapist assistant in another state, jurisdiction, or country;
    15. Failure to furnish the board, administrator, investigator, or representatives information legally requested by the board;
    16. Violation of this chapter or any of the rules and regulations or departure from or failure to conform to the current standards of acceptable and prevailing practice and code of ethics of physical therapy;
    17. Practicing, or offering to practice, beyond the scope of the practice of physical therapy.
  2. Whenever a patient seeks or receives treatment from a physical therapist without referral from a doctor of medicine, osteopathy, dentistry, podiatry, chiropractic, physician assistant, or certified registered nurse practitioner, the physical therapist shall:
    1. Disclose to the patient, in writing, the scope and limitations of the practice of physical therapy and obtain his or her consent in writing; and
    2. Refer the patient to a doctor of medicine, osteopathy, dentistry, podiatry, or chiropractic within ninety (90) days after the date treatment commenced; provided, that a physical therapist is not required to make this referral after treatment is concluded.
    3. [Deleted by P.L. 2017, ch. 130, § 1 and P.L. 2017, ch. 312, § 1].
  3. For purposes of this chapter and notwithstanding any other provisions of this chapter or any rules or regulations adopted by the board, any person licensed or registered under this chapter who is a bona fide employee or independent contractor of a physician or a physician group entitled to wages and compensation pursuant to such employment or contract, or is a co-owner of a physical therapy practice with a physician group, shall not be deemed to be engaged in conduct unbecoming a person licensed or registered under this chapter, or to be engaged in conduct detrimental to the best interest of the public, or to be in violation of any other provision of this chapter by virtue of any of the above relationships, and shall not be subject to licensure denial, suspension, revocation, or any other disciplinary action or penalty under this chapter:
    1. Solely by virtue of such employment or contract; or
    2. Solely by virtue of the provision of physical therapy services pursuant to a referral from the employing or contracting physician or physician group.

      Any such interest referenced in this paragraph shall be in accordance with federal and state law, specifically including, but not limited to, chapter 48.1 of this title.

History of Section. P.L. 1982, ch. 261, § 2; P.L. 1986, ch. 534, § 1; P.L. 1988, ch. 359, § 1; P.L. 1992, ch. 232, § 1; P.L. 1999, ch. 465, § 5; P.L. 2003, ch. 133, § 1; P.L. 2003, ch. 152, § 1; P.L. 2004, ch. 153, § 1; P.L. 2004, ch. 215, § 1; P.L. 2008, ch. 225, § 1; P.L. 2008, ch. 409, § 1; P.L. 2017, ch. 130, § 1; P.L. 2017, ch. 312, § 1.

5-40-14. Procedure for discipline of physical therapist.

  1. When a written allegation is filed with the board charging a person with having been guilty of any of the actions specified in § 5-40-13 , the division of professional regulation shall immediately investigate those charges, or, the board, after investigation, may institute charges.
    1. In the event that investigation reveals reasonable grounds for believing that the person is guilty of the charges, upon the recommendation of the board or the administrator, the director shall fix a time and place for a hearing, and shall serve a copy of the charges together with a notice of the time and the place fixed for the hearing personally upon the accused at least twenty (20) days prior to the time fixed for the hearing.
    2. When personal service cannot be effected and that fact is certified by oath by any person authorized to make service, the board shall publish once, in each of two (2) successive weeks, a notice of the hearing in a newspaper published in the county where the accused last resided according to the records of the board and shall mail a copy of the charges and of that notice to the accused at his or her last known address. When publication of notice is necessary, the date of the hearing shall not be less than twenty (20) days after the last date of publication of the notice.
    3. At the hearing, the accused has the right to appear personally or by counsel or both; to produce witnesses and evidence on his or her behalf; to cross-examine witnesses; and to have subpoenas issued by the administrator of professional regulation. The attendance of witnesses and the production of books, documents, and papers at the hearing may be compelled by subpoenas issued by the administrator, which shall be served in accordance with law.
    4. At the hearing, the administrator shall administer oaths as may be necessary for the proper conduct of the hearing.
    5. The board is not bound by the strict rules of procedure or by the laws of evidence in the conduct of its proceedings, but the determination shall be based upon sufficient legal evidence to sustain it.
    6. If the accused is found guilty of the charges, the board may refuse to issue a registration to the applicant or may revoke or suspend their license or otherwise discipline that person.
  2. Upon the revocation or suspension of any license, the license holder shall surrender the license to the administrator of professional regulation who shall strike the name of the holder from the register.
  3. A revoked or suspended license may be reviewed at the discretion of the board.

History of Section. P.L. 1982, ch. 261, § 2; P.L. 1988, ch. 359, § 1.

5-40-15. Grounds for discipline without a hearing.

  1. In the event a person is hospitalized for mental illness or as an alcoholic as defined in chapter 1.10 of title 23, the board may, without the necessity of the proceedings provided for in § 5-40-16 , suspend, or refuse to renew the license of that person for the duration of his or her confinement or until that person is medically discharged from hospitalization.
  2. A plea of nolo contendere cannot be used as a defense to prevent the board from suspending or refusing to renew the license.

History of Section. P.L. 1982, ch. 261, § 2.

5-40-16. Appeals from board, administrator, or director.

  1. An appeal from any decision or order of the board, administrator of professional regulation, or director of the department of health may be claimed by any aggrieved party within thirty (30) days of that decision or order by filing a claim of appeal and reasons for the appeal in the office of the clerk of the superior court in the county in which the aggrieved party resides.
  2. A copy of the aggrieved party’s claim of appeal and the reasons for the appeal shall be served on the secretary of the board or administrator of professional regulation. The secretary or administrator shall promptly certify to the clerk of the superior court a correct and full copy of the record in connection with the order, including a transcript of the evidence, if the transcript has been taken, its findings of fact, conclusions, and a copy of the order.
  3. The court shall review the record of the order or decision, and in the event it finds that order or decision unlawful, arbitrary, or unreasonable, may vacate or set aside that order.
  4. The aggrieved party may claim or waive a trial by jury and proceedings shall be the same as those taken at other criminal or civil proceedings, but no party shall rely on any other grounds than those stated in his or her reasons of appeal.
  5. The filing of a claim of appeal shall not in itself stay or suspend the operation of any order or decision of the board, but during the pendency of those proceedings, the superior court may, in its discretion, stay or suspend, in whole or in part, the order or decision. No order of the court staying or suspending an order or decision shall be made by the court other than on five (5) days’ notice and after a hearing thereon and the suspension of the order or decision shall be based upon a finding by the court that great or irreparable damage would result to the aggrieved party in the absence of that stay or suspension.
  6. An appeal may be taken from the decision of the superior court to the supreme court of the state in the same manner as an appeal is taken under § 28-35-29 .

History of Section. P.L. 1982, ch. 261, § 2.

5-40-17. Penalties for violations.

  1. It is a misdemeanor for any person, firm, corporation, or association to:
    1. Use in connection with his or her name any designation tending to imply that he or she is a physical therapist or physical therapist assistant unless licensed under the provisions of this chapter;
    2. Use in connection with his or her name any designation tending to imply that he or she is a physical therapist or physical therapist assistant during the time his or her license issued under the provisions of this chapter is suspended or revoked; or
    3. Violate any of the provisions of this chapter.
  2. All misdemeanors shall be punishable by a fine of not less than three hundred dollars ($300) for the first offense. Each subsequent offense shall be punishable by a fine of not less than five hundred dollars ($500), or by imprisonment of not more than one year, or both.

History of Section. P.L. 1982, ch. 261, § 2; P.L. 1988, ch. 359, § 1.

5-40-18. Injunction of violations.

When it appears to the board that any person is violating any of the provisions of this chapter, the director of the department of health may institute an action, commenced in the name of the board, to enjoin that violation in a court of competent jurisdiction, and that court may enjoin any person, firm, corporation, or association from violating any of the provisions of this chapter without regard to whether proceedings have been or may be instituted.

History of Section. P.L. 1982, ch. 261, § 2.

5-40-19. Applicability to osteopaths and chiropractors.

No provision of this chapter shall be construed to apply to any person licensed either under the provisions of chapter 37 of this title to practice osteopathic medicine, or the provisions of chapter 30 of this title, entitled “Chiropractic Physicians.”

History of Section. P.L. 1982, ch. 261, § 2.

5-40-20. Enforcement of chapter.

The director of the department of health shall enforce the provisions of this chapter. The director or his or her authorized agents and the board shall be exempt from providing surety for costs in connection with the commencement of any legal proceedings under this chapter.

History of Section. P.L. 1982, ch. 261, § 2.

5-40-21. Severability.

The provisions of this chapter are severable, and if any of the provisions of this chapter are held unconstitutional by any court of competent jurisdiction, the decision of that court shall not affect or impair any of the remaining provisions.

History of Section. P.L. 1982, ch. 261, § 2.

5-40-22. Construction of references.

Whenever in chapter 40 of this title, entitled “Physical Therapists,” the words “division of professional regulation” or “administrator of professional regulation” shall appear, the same shall be deemed to refer to and mean the “department of health.”

History of Section. P.L. 2003, ch. 133, § 2; P.L. 2003, ch. 152, § 2.

5-40-23. Ordering diagnostic imaging — Sunset.

  1. Physical therapists licensed pursuant to § 5-40-7 may order diagnostic imaging as defined in § 5-40-1 to be performed and interpreted by other licensed healthcare professionals.
  2. All diagnostic imaging tests ordered by a physical therapist shall be reported by the physical therapist to the patient’s designated primary care physician of record within seven (7) days following receipt of the results. This reporting shall not be required if the patient does not have a primary care physician.
  3. Managed healthcare plans shall provide a utilization report to the general assembly no later than September 1, 2022, and annually thereafter.
  4. Unless extended by the general assembly, physical therapists shall not be authorized to order diagnostic imaging as an authorized practice of physical therapy after December 31, 2023.

History of Section. P.L. 2021, ch. 207, § 2, effective July 7, 2021; P.L. 2021, ch. 327, § 2, effective July 9, 2021.

Compiler's Notes.

P.L. 2021, ch. 207, § 2, and P.L. 2021, ch. 327, § 2 enacted identical versions of this section.

5-40-24. Physical therapy in a school setting.

A physical therapist licensed under this chapter may perform physical therapy services without a prescription or referral, when providing physical therapy services in a school setting to a student in accordance with the provisions of the student’s individualized education plan (IEP) or individualized family service plan (IFSP).

History of Section. P.L. 2022, ch. 79, § 1, effective June 15, 2022; P.L. 2022, ch. 80, § 1, § 1, effective June 15, 2022.

Compiler's Notes.

P.L. 2022, ch. 79, § 1, and P.L. 2022, ch. 80, § 1 enacted identical versions of this section.

Chapter 40.1 Occupational Therapy

5-40.1-1. Short title.

This chapter shall be known and may be cited as the “Rhode Island Occupational Therapy Practice Act.”

History of Section. P.L. 1984, ch. 356, § 1.

Comparative Legislation.

Occupational therapists:

Conn. Gen. Stat. § 20-74a et seq.

Mass. Ann. Laws ch. 112, § 23O et seq.

5-40.1-2. Declaration of purpose.

In order to safeguard the public health, safety, and welfare; to protect the public from incompetent, unscrupulous, and unauthorized persons; to ensure the highest degree of professional conduct on the part of occupational therapists and to ensure the availability of occupational therapy services of high quality to persons in need of these services; it is the purpose of this chapter to provide for the regulation of persons offering occupational therapy services.

History of Section. P.L. 1984, ch. 356, § 1.

5-40.1-3. Definitions.

  1. “Administrator” means the administrator of the division of professional regulation.
  2. “Board” means the board of occupational therapy practice within the division of professional regulation established pursuant to the provisions of § 5-40.1-4 .
  3. “Chapter” refers to chapter 40.1 of this title, entitled “Occupational Therapy.”
  4. “Director” means the director of the Rhode Island department of health.
  5. “Division” means the division of professional regulation of the department of health.
  6. “Occupational therapist” means a person licensed to practice occupational therapy under the provisions of this chapter and the rules and regulations authorized by this chapter.
    1. “Occupational therapy” (OT) is the use of purposeful activity or interventions designed to achieve functional outcomes that promote health, prevent injury or disability, and develop, improve, sustain, or restore the highest possible level of independence of any individual who has an injury, illness, cognitive impairment, sensory impairment, psychosocial dysfunction, mental illness, developmental or learning disability, physical disability, or other disorder or condition.
    2. Occupational therapy includes evaluation by means of skilled observation of functional performance or assessment through the administration and interpretation of standardized or nonstandardized tests and measurements.
  7. “Occupational therapy aide” means a person not licensed pursuant to the statutes and rules applicable to the practice of occupational therapy; who works under the supervision of a licensed occupational therapist or occupational therapy assistant; who assists in the practice of occupational therapy; and whose activities require an understanding of occupational therapy, but do not require professional or advanced training in the basic anatomical, psychological, and social sciences involved in the practice of occupational therapy.
  8. “Occupational therapy assistant” means a person licensed to practice occupational therapy under the provisions of this chapter and the rules and regulations authorized by this chapter.
    1. “Occupational therapy services” includes, but is not limited to:
      1. Evaluating and providing treatment in consultation with the individual, family, or other appropriate persons;
      2. Interventions directed toward developing, improving, sustaining, or restoring daily living skills, including self-care skills and activities that involve interactions with others and the environment, work readiness or work performance, play skills or leisure capacities, or educational performance skills;
      3. Developing, improving, sustaining, or restoring sensory-motor, oral-motor, perceptual, or neuromuscular functioning; or emotional, motivational, cognitive, or psychosocial components of performance; and
      4. Educating the individual, family, or other appropriate persons in carrying out appropriate interventions.
    2. These services may encompass evaluating need; and designing, developing, adapting, applying, or training in the use of assistive technology devices; designing, fabricating or applying rehabilitative technology, such as selected orthotic devices; training in the functional use of orthotic or prosthetic devices; applying therapeutic activities, modalities, or exercise as an adjunct to or in preparation for functional performance; applying ergonomic principles; adapting environments and processes to enhance daily living skills; or promoting health and wellness.
  9. “Supervision” means that a licensed occupational therapist or occupational therapy assistant is at all times responsible for supportive personnel and students.

History of Section. P.L. 1984, ch. 356, § 1; P.L. 1997, ch. 350, § 1; P.L. 2009, ch. 310, § 34.

5-40.1-4. Board of occupational therapy practice — Creation — Composition — Appointment and term of members — Meetings — Vacancies.

  1. There is created within the division of professional regulation in the department of health a board of occupational therapy practice. The board shall consist of five (5) members appointed by the director of the department of health with the approval of the governor. Three (3) members shall be licensed occupational therapists; one member shall be a physician licensed to practice medicine in this state; and one member shall be a consumer.
  2. The director of the department of health, with the approval of the governor, within sixty (60) days following May 11, 1984, shall appoint one board member for a term of one year; two (2) for a term of two (2) years; and two (2) for a term of three (3) years. Appointments made thereafter shall be for three-year (3) terms, but no person shall be appointed to serve more than two (2) consecutive terms. Terms shall begin on the first day of the calendar year and end on the last day of the calendar year or until successors are appointed, except for the first appointed members who shall serve through the last calendar day of the year in which they are appointed, before commencing the terms prescribed by this section.
  3. The board shall meet during the first month of each calendar year to select a chairperson and for other purposes. At least one additional meeting shall be held before the end of each calendar year. Other meetings may be convened at the call of the chairperson, the administrator of professional regulation, or upon the written request of any two (2) board members. A majority of the members of the board constitutes a quorum for all purposes.
  4. In the event of a vacancy in one of the positions, the director of the department of health, with the approval of the governor, may appoint a person to fill the unexpired term.

History of Section. P.L. 1984, ch. 356, § 1.

5-40.1-5. Board of occupational therapy practice — Powers and duties — Register — Compensation of members.

  1. The board is authorized to recommend to the director of the department of health, for his or her approval, the adoption and revision of any rules and regulations not inconsistent with law as necessary to enable it to carry into effect the provisions of this chapter.
  2. The board shall recommend only qualified applicants for licensure. The board shall review applicants at least twice a year.
  3. The division of professional regulation shall adopt policies to be followed in the examination, licensure, and renewal of licenses of qualified applicants.
  4. The board shall conduct hearings upon charges calling for the discipline of licensees or revocation of licenses as shall be necessary, in accordance with the administrative procedures act, chapter 35 of title 42. The administrator of professional regulation has the power to issue subpoenas and compel the attendance of witnesses, and administer oaths to persons giving testimony at hearings.
  5. The board shall maintain in the office of the division of professional regulation a register of all persons holding a license.
  6. Members of the board shall receive no compensation for their services.

History of Section. P.L. 1984, ch. 356, § 1.

5-40.1-6. Licenses required.

  1. Pursuant to this section, no person may practice occupational therapy, or hold himself or herself out as an occupational therapist or occupational therapy assistant, or as being able to practice as an occupational therapist or occupational therapy assistant, or as being able to practice occupational therapy, or to render occupational therapy services, in this state unless he or she is licensed under the provisions of this chapter and the rules and regulations authorized by this chapter.
  2. Only an individual may be licensed under this chapter.
  3. Only an individual licensed in this state as an occupational therapist may use the words “occupational therapist,” “licensed occupational therapist,” or “occupational therapist registered” in connection with his or her name or place of business; or may use other words, letters, abbreviations, or insignia indicating or implying that he or she is an occupational therapist.
  4. Only an individual licensed in this state as an occupational therapy assistant may use the words “certified occupational therapy assistant,” “occupational therapy assistant,” or “licensed occupational therapy assistant” in connection with his or her name or place of business; or may use other words, letters, abbreviations, or insignia indicating or implying that he or she is an occupational therapy assistant.

History of Section. P.L. 1984, ch. 356, § 1; P.L. 1997, ch. 350, § 1; P.L. 1999, ch. 354, § 12.

5-40.1-7. Persons and practices not affected.

Nothing in this chapter shall be construed as preventing or restricting the practice, services, or activities of:

  1. Any person licensed in this state by any other law from engaging in the profession or occupation for which he or she is licensed;
  2. Any person employed as an occupational therapist or occupational therapy assistant by the government of the United States or any agency of it, if that person provides occupational therapy solely under the direction or control of the organization by which he or she is employed;
  3. Any person pursuing a supervised course of study leading to a degree or certificate in occupational therapy at an accredited or approved educational program, if the person is designated by a title that clearly indicates his or her status as a student or trainee; or
  4. Any person fulfilling the supervised fieldwork experience requirements of § 5-40.1-8(a)(3) , if the experience constitutes a part of the experience necessary to meet the requirement of that section.

History of Section. P.L. 1984, ch. 356, § 1.

5-40.1-8. Requirements for licensure.

  1. Any applicant seeking licensure as an occupational therapist or occupational therapy assistant in this state must:
    1. Be at least eighteen (18) years of age;
    2. Be of good moral character;
    3. Have successfully completed the academic requirements of an education program in occupational therapy accredited by the American Occupational Therapy Association’s Accreditation Council for Occupational Therapy Education or other therapy accrediting agency that may be approved by the board;
    4. Have successfully completed a period of supervised fieldwork experience arranged by the recognized educational institution where he or she met the academic requirements:
      1. For an occupational therapist, a minimum of twenty-four (24) weeks of supervised fieldwork experience shall be required;
      2. For an occupational therapy assistant, a minimum of twelve (12) weeks shall be required;
    5. Have successfully passed the National Certification Examination for Occupational Therapists, Registered, or National Certification Examination for Occupational Therapy Assistants, of the National Board for Certification in Occupational Therapy (NBCOT) or other occupational therapy certification examination as approved by the board.
  2. Application for licensure to practice occupational therapy in this state, either by endorsement or by examination, shall be made on forms provided by the division that shall be completed, and submitted to the board thirty (30) days prior to the scheduled date of the board meeting. The application shall be accompanied by the following documents:
    1. A document, evidenced in the manner prescribed by the department, showing the applicant is of good moral character;
    2. For U.S. citizens: a certified copy of birth record or naturalization papers;
    3. For non-U.S. citizens: documented evidence of alien status, such as immigration papers or resident alien card or any other verifying papers acceptable to the administrator;
    4. Documented evidence and supporting transcripts of qualifying credentials as prescribed in this section;
    5. A statement from the board of occupational therapy in each state in which the applicant has held or holds licensure, or is otherwise subject to state regulation, to be submitted to the board of this state attesting to the licensure status of the applicant during the time period the applicant held licensure in that state; and
    6. The results of the written national examination of the National Board for Certification in Occupational Therapy (NBCOT).
    1. Applicants seeking licensure as occupational therapists or occupational therapy assistants are required to pass the national written examination of the National Board for Certification in Occupational Therapy (NBCOT) approved by the board to test the applicant’s fitness to engage in the practice of occupational therapy pursuant to the provisions of this chapter; and
    2. The date, time, and place of examinations shall be available from the National Board for Certification in Occupational Therapy (NBCOT).
  3. In case any applicant fails to satisfactorily pass an examination, the applicant shall be entitled to reexamination.
  4. Occupational therapists and occupational therapy assistants who are licensed or regulated to practice under laws of another state or territory or the District of Columbia may, upon receiving a receipt from the division, perform as an occupational therapist or occupational therapy assistant under the supervision of a qualified and licensed occupational therapist or occupational therapy assistant. If this applicant fails to receive licensure when the board reviews the application, all previously mentioned privileges automatically cease.
  5. Applicants from foreign occupational therapy schools must meet the requirements of the National Board for Certification in Occupational Therapy (NBCOT) and present evidence of passage of the National Certification Examination for Occupational Therapists or the National Certification Examination for Occupational Therapy Assistants of the NBCOT. Applicants must meet all of the appropriate requirements for licensure to the satisfaction of the board and in accordance with the statutory and regulatory provisions of this chapter.

History of Section. P.L. 1984, ch. 356, § 1; P.L. 1997, ch. 350, § 1; P.L. 1999, ch. 354, § 12; P.L. 2018, ch. 176, § 12; P.L. 2018, ch. 289, § 12; P.L. 2019, ch. 308, art. 1, § 20.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-40.1-9. Graduate practice.

  1. Any individual who graduates from an approved occupational therapy school who has filed a completed application for licensure, may upon receiving a receipt from the division, perform as an occupational therapist or occupational therapy assistant under the supervision of an occupational therapist licensed in this state, until the next scheduled examination.
  2. If this applicant fails to take the next succeeding examination without cause, or fails to pass the examination and receive a license, all privileges provided in subsection (a) automatically cease. This applicant shall, during the interim period (between time of application and examination), identify himself or herself only as a “graduate occupational therapist” or “graduate occupational therapy assistant.”

History of Section. P.L. 1984, ch. 356, § 1; P.L. 1997, ch. 350, § 1.

5-40.1-10. Examination.

The applicant shall be required to pass with a grade determined by the board, an examination approved by the board pursuant to § 5-40.1-8(a)(5) .

History of Section. P.L. 1984, ch. 356, § 1; P.L. 1997, ch. 350, § 1.

5-40.1-11. [Obsolete.]

5-40.1-12. Renewal of licenses — Inactive status.

  1. Upon the recommendation of the board, the director shall issue to applicants who have satisfactorily met the licensure requirements of this chapter, a license to practice occupational therapy in this state. The license, unless sooner suspended or revoked, shall expire on the thirty-first (31st) day of March, of each even year (biennially).
    1. On or before the first (1st) day of March of each even year, the administrator of the division shall mail an application for renewal of license to every individual to whom a license has been issued or renewed during the current licensure period.
    2. Every licensed individual who desires to renew his or her license shall file with the division a renewal application executed together with the evidence of continuing education requirements as delineated in subsection (a)(3) and the renewal fee as set forth in § 23-1-54 made payable by check to the general treasurer, state of Rhode Island, on or before the thirty-first (31st) day of March of each even year.
    3. On application for renewal of license, occupational therapists and occupational therapy assistants must show proof of participation in twenty (20) hours biennially in presentations, clinical instruction, publications, research, in-service programs, American Occupational Therapy Association-recognized conferences, university courses, and/or self-study courses.
    4. Upon receipt of a renewal application and payment of fee, the director shall, upon the recommendation of the board, grant a renewal license effective the thirty-first (31st) day of March for a period of two (2) years, unless sooner suspended or revoked.
    5. Any individual who allows his or her license to lapse by failing to renew it on or before the thirty-first (31st) day of March of the next even year as provided in subsections (a)(1), (a)(2), and (a)(3), may be reinstated by the director upon receiving a receipt from the division for payment of the current renewal fee plus an additional fee as set forth in § 23-1-54 made payable by check to the general treasurer, state of Rhode Island.
    6. An individual using the title “occupational therapist” or “occupational therapy assistant” during the time his or her license has lapsed is subject to the penalties provided for violation of those regulations and this chapter.
  2. An individual licensed as an occupational therapist or occupational therapy assistant in this state who does not intend to engage in the practice of occupational therapy within this state during any year, may upon request to the division, have his or her name transferred to an inactive status and shall not be required to register biennially or pay any fee as long as he or she remains inactive. Any individual whose name has been transferred to an inactive status pursuant to this section, may be restored to active status to practice occupational therapy without a penalty fee, upon the filing of an application for licensure renewal, the licensure renewal fee as set forth in § 23-1-54 made payable by check to the general treasurer of the state of Rhode Island, and any other information that may be requested by the division.

History of Section. P.L. 1984, ch. 356, § 1; P.L. 1997, ch. 350, § 1; P.L. 2001, ch. 77, art. 14, § 16; P.L. 2007, ch. 73, art. 39, § 14; P.L. 2012, ch. 241, art. 9, § 16.

5-40.1-13. Fees.

When an application is submitted to the division of professional regulation for a license to practice occupational therapy in Rhode Island, the applicant shall pay a nonrefundable fee to the general treasurer. A licensee shall submit a biennial renewal fee with a renewal application on or before the thirty-first (31st) day of March of each even year pursuant to the requirements of § 5-40.1-12(a)(2) , and any person who allows his or her license to lapse by failing to renew it in the prescribed manner shall pay an additional fee as referred to in § 5-40.1-12(a)(5) . All fees required by this section shall be as set forth in § 23-1-54 .

History of Section. P.L. 1984, ch. 356, § 1; P.L. 1993, ch. 138, art. 71, § 15; P.L. 1997, ch. 350, § 1; P.L. 2001, ch. 77, art. 14, § 16; P.L. 2002, ch. 292, §§ 1, 98; P.L. 2007, ch. 73, art. 39, § 14; P.L. 2012, ch. 241, art. 9, § 16.

5-40.1-14. Grounds for refusal to renew, suspension, or revocation of license.

  1. The board may deny a license or refuse to renew a license or may suspend or revoke a license or may impose probationary conditions if the licensee has been found guilty of unprofessional conduct that has endangered or is likely to endanger the health, welfare, or safety of the public. Unprofessional conduct includes:
    1. Obtaining a license by means of fraud, misrepresentation, or concealment of material facts;
    2. Being found guilty of fraud or deceit in connection with his or her services rendered as an occupational therapist or occupational therapy assistant;
    3. Committing a felony;
    4. Violating any lawful order, rule, or regulation rendered or adopted by the board;
    5. Failing to report, in writing, to the board any disciplinary decision issued against the licensee or the applicant in another jurisdiction within thirty (30) days of the disciplinary decisions;
    6. Violating any provision of this chapter; and
    7. Providing services to a person who is making a claim as a result of a personal injury, who charges or collects from the person any amount in excess of the reimbursement to the occupational therapist by the insurer as a condition of providing or continuing to provide services or treatment.
  2. A denial, refusal to renew, suspension, revocation, or imposition of probationary conditions upon the license may be ordered by the board or the director of the department of health after a hearing in the manner provided by the administrative procedures act, chapter 35 of title 42.
  3. The American Occupational Therapy Association’s “Occupational Therapy Code of Ethics” is adopted as a public statement of the values and principles used in promoting and maintaining high standards of behavior in occupational therapy. These state:
    1. Occupational therapy personnel shall demonstrate a concern for the well-being of the recipients of their services;
    2. Occupational therapy personnel shall respect the rights of the recipients of their services;
    3. Occupational therapy personnel shall achieve and continually maintain high standards of competence;
    4. Occupational therapy personnel shall comply with laws and association policies guiding the profession of occupational therapy;
    5. Occupational therapy personnel shall provide accurate information about occupational therapy services; and
    6. Occupational therapy personnel shall treat colleagues and other professionals with fairness, discretion, and integrity.

History of Section. P.L. 1984, ch. 356, § 1; P.L. 1997, ch. 350, § 1; P.L. 1999, ch. 465, § 6; P.L. 2021, ch. 400, § 11, effective July 13, 2021; P.L. 2021, ch. 401, § 11, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 11, and P.L. 2021, ch. 401, § 11 enacted identical amendments to this section.

5-40.1-15. Board of occupational therapy practice — Seal — Authentication of records.

The board shall adopt a seal by which it authenticates its proceedings. Copies of the proceedings, records, and acts of the board and certificates purporting to relate the facts concerning its proceedings, records, and acts signed by the secretary and authenticated by the seal, shall be evidence in all courts of this state.

History of Section. P.L. 1984, ch. 356, § 1.

5-40.1-16. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1984, ch. 356, § 1; P.L. 1989, ch. 126, art. 26, § 6; P.L. 1995, ch. 370, art. 40, § 22.

5-40.1-17. Penalty for violations.

Any person who violates any provision of this chapter, upon conviction, is guilty of a misdemeanor and shall be fined not more than five hundred dollars ($500).

History of Section. P.L. 1984, ch. 356, § 1.

5-40.1-18. Severability.

If a part of this chapter is held unconstitutional or invalid, all valid parts that are severable from the invalid or unconstitutional part remain in effect. If a part of this chapter is held unconstitutional or invalid in one or more of its applications, the part remains in effect in all constitutional and valid applications that are severable from the invalid applications.

History of Section. P.L. 1984, ch. 356, § 1.

5-40.1-19. Effective date.

This chapter shall take effect July 11, 1984.

History of Section. P.L. 1984, ch. 356, § 1.

5-40.1-20. Rules governing practices and procedures.

All hearings and reviews required under the provisions of this chapter and the rules and regulations authorized by this chapter, shall be held in accordance with the provisions of the rules and regulations promulgated by the Rhode Island department of health, entitled, “Rules and Regulations Governing Practices and Procedures Before the Rhode Island Department of Health (R42-35-PP).”

History of Section. P.L. 1997, ch. 350, § 2.

5-40.1-21. Supervision.

  1. A licensed occupational therapist shall exercise sound judgment and shall provide adequate care in the performance of duties. A licensed occupational therapist shall be permitted to supervise the following: occupational therapists, occupational therapy assistants, occupational therapy aides, care extenders, occupational therapy students, and volunteers.
  2. A licensed occupational therapy assistant shall exercise sound judgment and shall provide adequate care in the performance of duties. A licensed occupational therapy assistant shall be permitted to supervise the following: occupational therapy aides, care extenders, students, and volunteers.
  3. Subject to the requirements of this section, a licensed occupational therapy assistant may practice limited occupational therapy only under the supervision of a licensed occupational therapist. Supervision requires at a minimum that the supervising licensed occupational therapist meet in person with the licensed occupational therapy assistant to provide initial direction and periodic on-site supervision. The supervising licensed occupational therapist working with the licensed occupational therapy assistant shall determine the amount and type of supervision necessary in response to the experience and competence of the licensed occupational therapy assistant and the complexity of the treatment program. The supervisor and the licensed occupational therapy assistant shall be jointly responsible for maintaining records, including patient records, to document compliance with this regulation.
  4. A licensed occupational therapy assistant:
    1. May not initiate a treatment program until the patient has been evaluated and the treatment planned by the licensed occupational therapist;
    2. May not perform an evaluation, but may assist in the data-gathering process and administer specific assessments where clinical competency has been demonstrated, under the direction of the licensed occupational therapist;
    3. May not analyze or interpret evaluation data;
    4. May participate in the screening process by collecting data and communicate the information gathered to the licensed occupational therapist;
    5. Monitors the need for reassessment and reports changes in status that might warrant reassessment or referral under the supervision of the licensed occupational therapist; and
    6. Immediately discontinues any treatment procedure that appears harmful to the patient and immediately notifies the supervising occupational therapist.
    1. An occupational therapy aide shall be a worker trained on the job. A licensed occupational therapist or licensed occupational therapy assistant using occupational therapy aide personnel to assist with the provision of occupational therapy services must provide close supervision in order to protect the health and welfare of the consumer.
    2. The primary function of an occupational therapy aide functioning in an occupational therapy setting shall be to perform designated routine tasks related to the operation of an occupational therapy service. These tasks may include, but are not limited to, routine department maintenance, transporting patients/clients, preparing or setting up treatment equipment and work area, assisting patients/clients with their personal needs during treatment, assisting in the construction of adaptive equipment, and carrying out a predetermined segment or task in the patient’s care.
  5. The licensed occupational therapist or occupational therapy assistant shall not delegate to an occupational therapy aide:
    1. Performance of occupational therapy evaluation procedures;
    2. Initiation, planning, adjustment, modification, or performance of occupational therapy procedures requiring the skills or judgment of a licensed occupational therapist or licensed occupational therapy assistant;
    3. Making occupational therapy entries directly in patients’ or clients’ official records; and
    4. Acting on behalf of the occupational therapist in any matter related to occupational therapy, which requires decision making or professional judgment.

History of Section. P.L. 1997, ch. 350, § 2.

Chapter 41 Imported Goods

5-41-1. Marking.

No person shall sell, or offer or expose for sale, any canvas or rubber footwear that has been imported from a foreign country without notifying each person purchasing or intending to purchase that footwear that it has been imported, by displaying in a conspicuous place, in letters at least as large as the figures indicating the price of the goods sold, a sign marked “Imported goods.” If the goods have an individual price marking, they shall also be marked with the words “Imported goods” or the country of origin.

History of Section. P.L. 1962, ch. 215, § 1.

Comparative Legislation.

Imported goods:

Mass. Ann. Laws ch. 94, § 277B.

5-41-2. Advertising.

No person shall advertise or cause to be advertised for sale those goods mentioned in § 5-41-1 unless that advertisement also contains the words “Imported goods” in letters at least as large as the figures indicating the price of the goods being sold; and if the advertisement contains no indicated price, the words “Imported goods” in type not smaller than that of the body type of the advertisement must be contained in it.

History of Section. P.L. 1962, ch. 215, § 1.

5-41-3. Penalties for violations.

Whoever violates any provision of § 5-41-1 or § 5-41-2 is guilty of a misdemeanor, and, upon conviction, for the first offense shall be punished by a fine of not less than fifty dollars ($50.00) nor more than one hundred dollars ($100), and for each subsequent offense shall be punished by a fine of not less than one hundred dollars ($100) nor more than five hundred dollars ($500), or by imprisonment for a term not exceeding three (3) months, or both.

History of Section. P.L. 1962, ch. 215, § 1.

Chapter 42 Debt Pooling [Repealed.]

5-42-1 — 5-42-9. [Repealed.]

Repealed Sections.

Sections 5-42-3 through 5-42-9 (P.L. 1962, ch. 235, § 1) and §§ 5-42-1 and 5-42-2 (P.L. 1962, ch. 235, § 1; P.L. 1964, ch. 243, § 1; P.L. 1974, ch. 10, § 1), concerning debt pooling, were repealed by P.L. 1964, ch. 243, § 2 and P.L. 1991, ch. 349, § 1, respectively.

Chapter 43 Instruction in Jiu-Jitsu or Karate

5-43-1. City and town licensing power.

The city and town councils of the several cities and towns may license schools and other institutions offering instruction in jiu-jitsu and karate. The fee for this license shall not exceed twenty-five dollars ($25.00); provided, that nonprofit organizations and governmental agencies shall be exempt from paying that fee.

History of Section. P.L. 1967, ch. 80, § 1.

5-43-2. Penalty for violations.

Any city or town issuing licenses under this chapter may impose a fine not in excess of twenty dollars ($20.00) upon anyone convicted of offering instruction in jiu-jitsu or karate without that license.

History of Section. P.L. 1967, ch. 80, § 1.

Chapter 44 Psychologists

5-44-1. Definitions.

As used in this chapter:

  1. “Academic psychologist” means a person employed by or associated with a recognized college or university or other recognized institution who is engaged in teaching, studying, or conducting research in the science of psychology.
  2. “Board” means the board of psychology established by § 5-44-3 .
  3. “Department” means the Rhode Island department of health.
  4. “Director” means the director of the Rhode Island department of health.
  5. “Education” means the academic program pursued by a person in obtaining a doctoral degree, that program to include formal course work, seminars, and practica.
  6. “Licensed psychologist” means a person who has been licensed for the practice of psychology under this chapter. “Psychologist” as used in this chapter means a licensed psychologist as defined in this section.
  7. “Practice of psychology” means the rendering of professional psychological services to individuals, groups, families, or any public or private organization for remuneration. Professional psychological services means applying established psychological principles, methods, or procedures for the purpose of preventing or eliminating symptomatic, maladaptive, or undesired behavior and of enhancing interpersonal relationships, work and life adjustment, personal effectiveness, and mental health. The practice of psychology includes, but is not limited to:
    1. Diagnoses and treatment of emotional, mental, or behavioral dysfunction, disorder, or disability, alcoholism and substance-abuse disorders of habit or conduct, as well as of the psychological aspects of physical illness, accident, injury, or disability;
    2. Psychological testing and evaluation of intelligence, personality, abilities, interests, aptitudes, and neuropsychological functioning;
    3. Psychoeducation evaluation, therapy, remediation, and consultation; and
    4. Counseling, psychotherapy, psychoanalysis, hypnotherapy, biofeedback, and behavior analysis and therapy.
  8. “Psychology student,” “psychology trainee,” “psychology intern,” or “psychology resident” means a student, intern, or other person studying or preparing for the profession of psychologist under the supervision of recognized educational or training institutions or facilities.
  9. “Training” means the pre-professional or professional-supervised experience received by the person at the pre- or post-doctoral level, that experience to have been obtained in an internship, clinic, or other similar professional setting.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1983, ch. 253, § 16; P.L. 1992, ch. 469, § 1; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1; P.L. 2011, ch. 41, § 1; P.L. 2011, ch. 76, § 1.

Comparative Legislation.

Psychologists:

Conn. Gen. Stat. § 20-186 et seq.

Mass. Ann. Laws ch. 112, § 118 et seq.

5-44-2. Licensing of psychologist.

  1. In order to protect and safeguard the health and welfare of the people, it is unlawful for any person to represent himself or herself as a psychologist or to use any description of services including the terms “psychology” and “psychological,” or any title, abbreviation, sign, card, or device to indicate that person is a psychologist unless that person has been licensed pursuant to the provisions of this chapter or unless that person falls within an exception provided by § 5-44-23 .
  2. It is unlawful for any person to offer services to the public or to render to individuals or groups of individuals services defined as the practice of psychology in § 5-44-1(7) , unless that person is licensed pursuant to the provisions of this chapter or falls within an exemption provided by § 5-44-23 .
  3. Anyone holding a certificate as a psychologist in this state on July 21, 1992, shall be granted a license as a psychologist under the provisions of this chapter, and shall be licensed to practice psychology within his or her area of competence as specified in § 5-44-14 .

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1992, ch. 469, § 1.

5-44-3. Board of psychology — Creation — Composition.

Within the department of professional regulation in the department of health, there shall be a board of psychology consisting of seven (7) members as provided by § 5-44-4 .

History of Section. P.L. 1969, ch. 233, § 2; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1; P.L. 2017, ch. 36, § 1; P.L. 2017, ch. 42, § 1.

Cross References.

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

5-44-4. Board of psychology — Appointment, terms, and removal of members.

  1. The director of the department of health shall, with the approval of the governor, appoint seven (7) electors as members of the board. One member of the board shall be representative of the public, and six (6) shall be psychologists pursuant to this chapter and each of them shall have been engaged in their profession for at least five (5) years. At least one member of the board shall be an academic psychologist.
  2. The director shall, with the approval of the governor, appoint persons to serve on the board for a term of three (3) years and each member shall serve until his or her successor has been appointed and qualified.
  3. The director may remove any member from the board for neglect of any duty required by law, or for incompetence, or unprofessional or dishonorable conduct. Vacancies shall be filled in the same manner as the original appointment was made, for the remainder of the term.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1974, ch. 138, § 1; P.L. 1979, ch. 186, § 1; P.L. 1992, ch. 469, § 1; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1; P.L. 2017, ch. 36, § 1; P.L. 2017, ch. 42, § 1.

5-44-5. Board of psychology — Organization and meetings.

  1. The board shall organize immediately after the appointment and qualification of its members.
  2. The board shall annually elect a chairperson and secretary. Meetings may be called by the chairperson or the director of the department of health or by written request of four (4) members of the board. A majority of seats filled shall constitute a quorum. The board shall meet as often as necessary.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1979, ch. 186, § 1; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1; P.L. 2017, ch. 36, § 1; P.L. 2017, ch. 42, § 1.

5-44-6. Board of psychology — General powers.

The board of psychology shall:

  1. Be authorized to recommend to the director for his or her approval the adoption and revision of rules and regulations not inconsistent with law as necessary to enable it to carry into effect the provisions of this chapter.
  2. Determine the tests that applicants for licensure take. The department shall adopt policies to be followed in the examinations, licensure, and renewal of licenses of qualified applicants.
  3. Conduct hearings upon charges calling for the discipline of a license or revocation. The department has the power to issue subpoenas and compel the attendance of witnesses and administer oaths to persons giving testimony at hearings.
  4. The board, or the director shall prosecute all persons violating this chapter and has the power to incur the necessary expenses of prosecution. The board shall keep a record of all its proceedings.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1983, ch. 253, § 16; P.L. 1992, ch. 469, § 1; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1.

5-44-7. [Repealed.]

History of Section. P.L. 1969, ch. 233, § 2; Repealed by P.L. 2008, ch. 303, § 2, effective July 5, 2008; P.L. 2008, ch. 416, § 2, effective July 8, 2008.

Compiler’s Notes.

Former § 5-44-7 concerned reimbursement of board member’s expenses.

5-44-8. Register of psychologists — Licensing records.

The department shall maintain a register of all psychologists licensed under this chapter which shall be open at all reasonable times to public inspection. The department shall be the custodian of all records pertaining to the licensing of psychologists.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1992, ch. 469, § 1; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1.

5-44-9. Qualifications of psychologists.

An applicant for licensure shall submit to the board written evidence acceptable to the department that the applicant:

  1. Is of good moral character;
  2. Has received a doctorate degree in psychology from a college or university whose program of study for that degree at that time meets or exceeds the stated requirements for approval by the American Psychological Association, or its equivalent in terms of excellence of education and training, or a doctorate degree in an allied field whose education and training requirements are substantially similar to current American Psychological Association standards of accreditation for the granting of a doctorate in psychology;
  3. Has had the requisite supervised experience as deemed acceptable to the board as delineated in the rules and regulations;
  4. Has passed an examination conducted by the board to determine his or her qualification for licensure as a psychologist, or is applying under the provisions of § 5-44-11 .

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1983, ch. 253, § 16; P.L. 1992, ch. 469, § 1; P.L. 2000, ch. 204, § 1; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1; P.L. 2018, ch. 176, § 13; P.L. 2018, ch. 289, § 13.

5-44-10. Examinations.

  1. Examinations for licensure shall be conducted by the division as scheduled by the director of the department of health, and shall be offered by the board at least twice a year according to methods and in any subject fields that it deems most practical and expeditious to test the applicant’s qualifications.
    1. The board may require examinations to be written or oral, or both.
    2. In any written examination, the identity of the applicant shall not be disclosed to the board until after the examination papers have been graded.
    3. Written examination papers shall be preserved and available to the board for at least two (2) years.
  2. A candidate shall pass the examination upon the affirmative vote of at least two (2) members of the board.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1992, ch. 469, § 1; P.L. 2009, ch. 310, § 35.

5-44-11. Licensure without examination.

A licensure as a psychologist may be issued to:

  1. An applicant who has been licensed or certified as a psychologist under the laws of another state, United States territory, or foreign country where the board determines that the requirements are substantially equivalent to those of this state; or
  2. A person who has been certified after examination by the American Board of Examiners in Professional Psychology, if the board determines that the examination is substantially equivalent to, or exceeds, the requirements of the examination approved by the board.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1992, ch. 469, § 1; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1.

5-44-12. Application fee.

The applicant applying for licensure as a psychologist shall pay a fee as set forth in § 23-1-54 to the department.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1986, ch. 380, § 1; P.L. 2001, ch. 77, art. 14, § 17; P.L. 2007, ch. 73, art. 39, § 15; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1; P.L. 2012, ch. 241, art. 9, § 17.

5-44-13. Temporary license.

  1. Pursuant to §§ 5-44-6 and 5-44-23(f) and rules and regulations promulgated hereunder, a temporary permit to practice psychology under supervision may be granted to a candidate for licensure who has paid the required fee as set forth in § 23-1-54 and has satisfied the following requirements:
    1. Filed an application for licensure with all required supporting materials;
    2. Has received a doctoral degree in accordance with § 5-44-9 , and successfully completed one thousand five hundred (1,500) hours of supervision satisfactory to the board as specified in the rules and regulations;
    3. Shall only practice under the appropriate supervision of a licensed psychologist as delineated in the rules and regulations promulgated hereunder;
    4. Shall refrain from using the title “psychologist” or representing himself or herself as a psychologist other than by using the title “psychology student,” “psychology trainee,” “psychology intern,” or “psychology resident”; and
    5. The temporary permit shall be valid for a period of two (2) years from the date of issuance.
  2. Temporary permit holders may request from the board a one-year extension. Such an extension may be granted at the discretion of the board upon review of the applicant’s circumstances. This extension shall only be granted once.

History of Section. P.L. 1993, ch. 70, § 1; P.L. 2001, ch. 77, art. 14, § 17; P.L. 2007, ch. 73, art. 39, § 15; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1; P.L. 2011, ch. 41, § 1; P.L. 2011, ch. 76, § 1; P.L. 2012, ch. 241, art. 9, § 17; P.L. 2019, ch. 308, art. 1, § 21.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-44-14. Limitation of practice.

The board shall ensure through regulations and enforcement that licensees limit their practice to demonstrated areas of competence as documented by relevant professional education, training, and experience.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1992, ch. 469, § 1.

5-44-15. Expiration and renewal of licenses — Continuing education — Lapsed license.

  1. The license of every person licensed under the provisions of this chapter shall expire on the first day of July of the next even-numbered year following the issuance of his or her license.
  2. On or before the first day of May of each even-numbered year, the department shall mail an application for renewal of license to every person to whom a license has been issued or renewed during the cycle.
  3. Every licensed person who desires to renew his or her license shall file with the department a renewal application, executed, together with a renewal fee as set forth in § 23-1-54 , on or before the first day of June in each even-numbered year. Upon receipt of a renewal application and payment of the renewal fee, the accuracy of the application shall be verified and the department may grant a renewal license effective July 1st and expiring the June 30th in each even-numbered year.
  4. Every licensed psychologist who desires to continue licensure as a licensed psychologist shall present satisfactory evidence to the board and approved by rule or regulation of the board that the licensed psychologist has completed a prescribed course of continuing licensed psychological education.
  5. Any person who allows his or her license to lapse, by failing to renew it on or before June 1st in each even-numbered year, as provided in this section, may be reinstated by the department on payment of the current renewal fee, plus an additional fee as set forth in § 23-1-54 . Any person using the title “psychologist” or offering services defined as the practice of psychology under this chapter during the time his or her license has lapsed is subject to the penalties provided for violation of this chapter.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1976, ch. 166, § 1; P.L. 1992, ch. 469, § 1; P.L. 1993, ch. 138, art. 71, § 4; P.L. 1999, ch. 354, § 13; P.L. 2001, ch. 77, art. 14, § 17; P.L. 2007, ch. 73, art. 39, § 15; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1; P.L. 2012, ch. 241, art. 9, § 17.

5-44-16. Transfers to inactive list — Reinstatement.

  1. A psychologist who does not intend to continue his or her licensure, upon written request to the department, may have his or her name transferred to an inactive list and shall not be required to pay the renewal fee as long as he or she remains inactive.
  2. Should a psychologist wish to resume functioning as a psychologist, he or she must notify the department and remit his or her renewal fee and attestation of completion of the continuing education requirements in accordance with the rules and regulations promulgated hereunder within the immediate two (2) years prior to the applicant’s request for licensure reinstatement.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1987, ch. 284, § 1; P.L. 1992, ch. 469, § 1; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1.

5-44-17. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1989, ch. 126, art. 26, § 7; P.L. 1995, ch. 370, art. 40, § 23.

5-44-18. Grounds for discipline.

The board has the power to deny, revoke, or suspend any license issued by the department in accordance with this chapter, or to discipline a psychologist upon proof that the person:

  1. Is guilty of fraud or deceit in procuring or attempting to procure a license or temporary license;
  2. Is guilty of a felony or of a crime of immorality;
  3. Is habitually intemperate or is addicted to the use of habit-forming drugs;
  4. Is mentally incompetent;
  5. Is incompetent or negligent in the practice of psychology and has violated the provisions of this chapter or the rules and regulations promulgated hereunder;
  6. Has violated the ethical principles governing psychologists and the practice of psychology, as adopted by the board and in force at the time a charge is made regardless of whether or not the person is a member of any national, regional, or state psychological association; provided, that those ethical principles are a national recognized standard; and departure from or the failure to conform to the minimal standards of acceptable and prevailing psychology practice;
  7. Has practiced as a psychologist or has performed the duties of a psychologist without proper supervision by a psychologist licensed under this chapter unless specifically exempted by this chapter;
  8. Has had his or her license revoked, suspended, privileges limited, or other disciplinary action in another state or jurisdiction, including the voluntary surrender of a license;
  9. Has failed to furnish the department or its legal representative information requested by the board as part of a disciplinary action.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1983, ch. 253, § 16; P.L. 1999, ch. 465, § 7; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1.

Collateral References.

Physician’s or other healer’s conduct in connection with defense of or resistance to malpractice action as ground for revocation of license or other disciplinary action. 44 A.L.R.4th 248.

5-44-19. Procedure for discipline.

  1. When a sworn complaint is filed with the board charging a person with being guilty of any of the actions specified in § 5-44-18 , the department shall immediately investigate those charges, or, the board, after investigation, may institute charges.
    1. If the investigation reveals reasonable grounds for believing that the applicant or psychologist is guilty of the charges, the board shall fix a time and place for a hearing, and shall serve a copy of the charges, together with a notice of the time and the place fixed for the hearing, personally upon the accused at least twenty (20) days prior to the time fixed for the hearing.
    2. The board may investigate and render a decision on any disciplinary complaint against anyone practicing psychology regardless of whether he or she was licensed at the time of the alleged complaint or that his or her license has subsequently been surrendered, revoked, or not renewed.
    3. The board, at its discretion, may dismiss or suspend a complaint without a finding as delineated in the rules and regulations so that a person who is the subject of the complaint may participate in a colleague-assistance program acceptable to the board. The board may suspend a complaint contingent upon the person complying with directions issued by the board. The board may reinstate any suspended complaint at any time it deems that the person is not in compliance with the directions of the board.
    4. When personal service cannot be effected and that fact is certified by oath by any person authorized to make service, the board shall publish once, in each of two (2) successive weeks, a notice of the hearing in a newspaper published in the county where the accused last resided according to the records of the board and shall mail a copy of the charges and of the notice to the accused at his or her last known address.
    5. When publication of notice is necessary, the date of the hearing shall not be less than twenty (20) days after the last date of publication of the notice.
    1. At the hearing, the accused has the right to appear personally or by counsel, or both, to produce witnesses and evidence on his or her behalf; to cross-examine witnesses; and to have subpoenas issued by the administrator of professional regulation.
    2. The attendance of witnesses and the production of books, documents, and papers at the hearing may be compelled by subpoenas issued by the department, which shall be served in accordance with law.
    3. The department shall administer oaths as necessary for the proper conduct of the hearing.
    4. The board is not bound by the strict rules of procedure or by the laws of evidence in the conduct of its proceedings, but the determination shall be based upon sufficient legal evidence to sustain it.
    5. The board has the authority to delegate a hearing to a hearing officer.
  2. If the accused is found guilty of the charges, the board may refuse to issue a registration to the applicant, or may revoke or suspend his or her license, or discipline that person.
  3. Upon the revocation or suspension of any license, the license holder shall surrender the license to the department which shall indicate same in the licensure verification database.
  4. A revocation or suspension of license may be reviewed at the discretion of the board, or at the initiative of the department which may order a rehearing of the issue if it finds cause.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1992, ch. 469, § 1; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1; P.L. 2011, ch. 41, § 1; P.L. 2011, ch. 76, § 1; P.L. 2017, ch. 36, § 1; P.L. 2017, ch. 42, § 1.

5-44-20. Grounds for discipline without a hearing.

With the approval of the director, the board may temporarily suspend the license of a psychologist without a hearing if the board finds that evidence in its possession indicates that a psychologist continuing in practice would constitute an immediate danger to the public. In the event that the board temporarily suspends the license of a psychologist without a hearing by the board, a hearing must be held within ten (10) days after the suspension has occurred.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1983, ch. 253, § 16; P.L. 1992, ch. 469, § 1; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1.

5-44-21. Penalty for violations.

  1. It is a misdemeanor for any person, in offering his or her services to the public, to:
    1. Use in connection with his or her name any designation tending to imply that he or she is a psychologist, or any description of services tending to imply that he or she is engaged in the practice of psychology or to render services defined as the practice of psychology, unless licensed or exempted under the provisions of this chapter;
    2. Use in connection with his or her name any designation tending to imply that he or she is a psychologist, or to render services defined as the practice of psychology, during the time his or her license issued under the provision of this chapter is suspended or revoked;
    3. Otherwise violate any of the provisions of this chapter or the rules and regulations promulgated hereunder.
  2. All these misdemeanors shall be punishable by a fine of not more than five hundred dollars ($500) for each offense.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1992, ch. 469, § 1; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1.

5-44-22. Injunction of violations.

When it appears to the board that any person is violating any of the provisions of this chapter, the director may institute an action, commenced in the name of the board, to enjoin that violation in a court of competent jurisdiction. That court may enjoin any person from violating any of the provisions of this chapter, without regard to whether proceedings have been or may be instituted before the board or whether criminal proceedings have been or may be instituted.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1.

5-44-23. Persons and practices exempt.

  1. No provisions of this chapter shall be construed to prevent members of other recognized professions who are licensed, certified, or regulated for independent practice of that profession under the laws of this state from rendering services consistent with their professional training and code of ethics; provided, that they do not represent themselves to be psychologists. Recognized members of the clergy shall not be restricted from functioning in their ministerial capacity; provided, that they do not represent themselves to be psychologists.
  2. Nothing in this chapter shall be construed to prohibit teachers, guidance personnel, social workers, and school psychologists in public or private school, from full performance of their duties; nor to prohibit the use of psychological techniques by business or industrial organizations or companies for employment, placement, evaluation, promotion, or job adjustment of their own officers or employees.
  3. Nothing in this section shall be construed as prohibiting the use of consultants who are defined as qualified intellectual disability professionals under the Code of Federal Regulations (C.F.R.) 42 C.F.R. § 483.430, by facilities licensed as intermediate-care facilities for persons with intellectual disabilities by the department of behavioral healthcare, developmental disabilities and hospitals.
  4. Nothing in this chapter shall be construed as permitting the licensed psychologist to practice medicine as defined by the laws of this state.
  5. Nothing in this section shall be construed as permitting those persons identified in subsections (b) and (f) of this section to offer their services to any persons or organizations other than those listed in subsection (f) of this section as consultants or to accept remuneration for any psychological services other than that of their institutional salaries or fees unless they have been licensed under this chapter or exempted under subsection (a) of this section.
  6. Nothing in this chapter limits the professional pursuits of any nonlicensed psychologists, psychology students, psychology trainees, psychology residents, or persons rendering psychological services as an employee of a licensed hospital, accredited educational institution, authorized community mental health clinic or center, government or medical agency, while functioning under the title conferred upon him or her by the administration of any hospital, educational institution, or agency.
  7. Those organizations listed in subsection (f) of this section include all facilities, agencies, or institutions regulated and/or licensed by the department of health, the department of elementary and secondary education, the department of children, youth and families, and the department of behavioral healthcare, developmental disabilities and hospitals.
  8. A psychologist licensed or certified in another state or United States territory may perform psychological services in the state of Rhode Island without obtaining a license for up to ten (10) calendar days per calendar year with no more than five (5) days of this activity occurring consecutively. The calendar-day limit shall not apply to service as an expert witness in a legal proceeding.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 1979, ch. 380, § 1; P.L. 1992, ch. 469, § 1; P.L. 1999, ch. 83, § 2; P.L. 1999, ch. 130, § 2; P.L. 1999, ch. 354, § 13; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1; P.L. 2011, ch. 41, § 1; P.L. 2011, ch. 76, § 1; P.L. 2019, ch. 308, art. 1, § 21.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-44-24. Enforcement.

The director shall enforce the provisions of this chapter. He or she, or his or her authorized agents, and the board shall be exempt from providing surety for costs in connection with the commencement of any legal proceedings under this chapter.

History of Section. P.L. 1969, ch. 233, § 2; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1.

5-44-25. Severability.

The provisions of this chapter are severable, and if any of this chapter’s provisions are held unconstitutional by any court of competent jurisdiction, the decision of that court shall not affect or impair any of the remaining provisions.

History of Section. P.L. 1969, ch. 233, § 2.

5-44-26. Appeals from director and board.

Any person aggrieved by any decision or ruling of the director or the board may appeal to the superior court in the manner provided in the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1983, ch. 253, § 17; P.L. 2008, ch. 303, § 1; P.L. 2008, ch. 416, § 1.

Chapter 44.1 The Psychology Interjurisdictional Compact

5-44.1-1. Short title.

This chapter shall be known and may be cited as the “The Psychology Interjurisdictional Compact” (“the compact”).

History of Section. P.L. 2022, ch. 109, § 1, effective June 21, 2022; P.L. 2022, ch. 110, § 1, § 1, effective June 21, 2022.

5-44.1-2. Execution of the compact.

The governor on behalf of the State of Rhode Island is authorized to execute a compact, in substantially the following form, with any state, territory or possession of the United States, the District of Columbia, and the Commonwealth of Puerto Rico, and the general assembly signifies in advance its approval and ratification of this compact: “The Psychology Interjurisdictional Compact”. The contracting states solemnly agree:

PSYCHOLOGY INTERJURISDICTIONAL COMPACT (PSYPACT)

ARTICLE I

PURPOSE

Whereas, states license psychologists, in order to protect the public through verification of education, training and experience and ensure accountability for professional practice; and

Whereas, this Compact is intended to regulate the day to day practice of telepsychology (i.e. the provision of psychological services using telecommunication technologies) by psychologists across state boundaries in the performance of their psychological practice as assigned by an appropriate authority; and

Whereas, this Compact is intended to regulate the temporary in-person, face-to-face practice of psychology by psychologists across state boundaries for thirty (30) days within a calendar year in the performance of their psychological practice as assigned by an appropriate authority; and

Whereas, this Compact is intended to authorize State Psychology Regulatory Authorities to afford legal recognition, in a manner consistent with the terms of the Compact, to psychologists licensed in another state; and

Whereas, this Compact recognizes that states have a vested interest in protecting the public’s health and safety through their licensing and regulation of psychologists and that such state regulation will best protect public health and safety; and

Whereas, this Compact does not apply when a psychologist is licensed in both the Home and Receiving States; and

Whereas, this Compact does not apply to permanent in-person, face-to-face practice, it does allow for authorization of temporary psychological practice.

Consistent with these principles, this Compact is designed to achieve the following purposes and objectives:

  1. Increase public access to professional psychological services by allowing for telepsychological practice across state lines as well as temporary in-person, face-to-face services into a state which the psychologist is not licensed to practice psychology;
  2. Enhance the states’ ability to protect the public’s health and safety, especially client/patient safety;
  3. Encourage the cooperation of Compact States in the areas of psychology licensure and regulation;
  4. Facilitate the exchange of information between Compact States regarding psychologist licensure, adverse actions and disciplinary history;
  5. Promote compliance with the laws governing psychological practice in each Compact State; and
  6. Invest all Compact States with the authority to hold licensed psychologists accountable through the mutual recognition of Compact State licenses.

ARTICLE II

DEFINITIONS

  1. “Adverse Action” means any action taken by a State Psychology Regulatory Authority which finds a violation of a statute or regulation that is identified by the State Psychology Regulatory Authority as discipline and is a matter of public record.
  2. “Association of State and Provincial Psychology Boards (ASPPB)” means the recognized membership organization composed of State and Provincial Psychology Regulatory Authorities responsible for the licensure and registration of psychologists throughout the United States and Canada.
  3. “Authority to Practice Interjurisdictional Telepsychology” means a licensed psychologist’s authority to practice telepsychology, within the limits authorized under this Compact, in another Compact State.
  4. “Bylaws” means those Bylaws established by the Psychology Interjurisdictional Compact Commission pursuant to Article X for its governance, or for directing and controlling its actions and conduct.
  5. “Client/Patient” means the recipient of psychological services, whether psychological services are delivered in the context of healthcare, corporate, supervision, and/or consulting services.
  6. “Commissioner” means the voting representative appointed by each State Psychology Regulatory Authority pursuant to Article X.
  7. “Compact State” means a state, the District of Columbia, or United States territory that has enacted this Compact legislation and which has not withdrawn pursuant to Article XIII, Section C or been terminated pursuant to Article XII, Section B.
  8. “Coordinated Licensure Information System” also referred to as “Coordinated Database” means an integrated process for collecting, storing, and sharing information on psychologists’ licensure and enforcement activities related to psychology licensure laws, Psychology Interjurisdictional Compact (PSYPACT) which is administered by the recognized membership organization composed of State and Provincial Psychology Regulatory Authorities.
  9. “Confidentiality” means the principle that data or information is not made available or disclosed to unauthorized persons and/or processes.
  10. “Day” means any part of a day in which psychological work is performed.
  11. “Distant State” means the Compact State where a psychologist is physically present (not through the use of telecommunications technologies), to provide temporary in-person, face-to- face psychological services.
  12. “e-Passport” means a certificate issued by the Association of State and Provincial Psychology Boards (ASPPB) that promotes the standardization in the criteria of interjurisdictional telepsychology practice and facilitates the process for licensed psychologists to provide telepsychological services across state lines.
  13. “Executive Board” means a group of directors elected or appointed to act on behalf of, and within the powers granted to them by, the Commission.
  14. “Home State” means a Compact State where a psychologist is licensed to practice psychology. If the psychologist is licensed in more than one Compact State and is practicing under the Authorization to Practice Interjurisdictional Telepsychology, the Home State is the Compact State where the psychologist is physically present when the telepsychological services are delivered. If the psychologist is licensed in more than one Compact State and is practicing under the Temporary Authorization to Practice, the Home State is any Compact State where the psychologist is licensed.
  15. “Identity History Summary” means a summary of information retained by the FBI, or other designee with similar authority, in connection with arrests and, in some instances, federal employment, naturalization, or military service.
  16. “In-Person, Face-to-Face” means interactions in which the psychologist and the client/patient are in the same physical space and which does not include interactions that may occur through the use of telecommunication technologies.
  17. “Interjurisdictional Practice Certificate” (IPC) means a certificate issued by the Association of State and Provincial Psychology Boards (ASPPB) that grants temporary authority to practice based on notification to the State Psychology Regulatory Authority of intention to practice temporarily, and verification of one’s qualifications for such practice.
  18. “License” means authorization by a State Psychology Regulatory Authority to engage in the independent practice of psychology, which would be unlawful without the authorization.
  19. “Non-Compact State” means any State which is not at the time a Compact State.
  20. “Psychologist” means an individual licensed for the independent practice of psychology.
  21. “Psychology Interjurisdictional Compact Commission” also referred to as “Commission” means the national administration of which all Compact States are members.
  22. “Receiving State” means a Compact State where the client/patient is physically located when the telepsychological services are delivered.
  23. “Rule” means a written statement by the Psychology Interjurisdictional Compact Commission promulgated pursuant to Article XI of the Compact that is of general applicability, implements, interprets, or prescribes a policy or provision of the Compact, or an organizational, procedural, or practice requirement of the Commission and has the force and effect of statutory law in a Compact State, and includes the amendment, repeal or suspension of an existing rule.
  24. “Significant Investigatory Information” means:
    1. Investigative information that a State Psychology Regulatory Authority, after a preliminary inquiry that includes notification and an opportunity to respond if required by state law, has reason to believe, if proven true, would indicate more than a violation of state statute or ethics code that would be considered more substantial than minor infraction; or
    2. Investigative information that indicates that the psychologist represents an immediate threat to public health and safety regardless of whether the psychologist has been notified and/or had an opportunity to respond.

      (Y) “State” means a state, commonwealth, territory, or possession of the United States, or the District of Columbia.

      (Z) “State Psychology Regulatory Authority” means the Board, office or other agency with the legislative mandate to license and regulate the practice of psychology.

  25. “Telepsychology” means the provision of psychological services using telecommunication technologies.
  26. “Temporary Authorization to Practice” means a licensed psychologist’s authority to conduct temporary in-person, face-to-face practice, within the limits authorized under this Compact, in another Compact State.
  27. “Temporary In-Person, Face-to-Face Practice” means where a psychologist is physically present (not through the use of telecommunications technologies), in the Distant State to provide for the practice of psychology for thirty (30) days within a calendar year and based on notification to the Distant State.

ARTICLE III

HOME STATE LICENSURE

  1. The Home State shall be a Compact State where a psychologist is licensed to practice psychology.
  2. A psychologist may hold one or more Compact State licenses at a time. If the psychologist is licensed in more than one Compact State, the Home State is the Compact State where the psychologist is physically present when the services are delivered as authorized by the Authority to Practice Interjurisdictional Telepsychology under the terms of this Compact.
  3. Any Compact State may require a psychologist not previously licensed in a Compact State to obtain and retain a license to be authorized to practice in the Compact State under circumstances not authorized by the Authority to Practice Interjurisdictional Telepsychology under the terms of this Compact.
  4. Any Compact State may require a psychologist to obtain and retain a license to be authorized to practice in a Compact State under circumstances not authorized by Temporary Authorization to Practice under the terms of this Compact.
  5. A Home State’s license authorizes a psychologist to practice in a Receiving State under the Authority to Practice Interjurisdictional Telepsychology only if the Compact State:
    1. Currently requires the psychologist to hold an active e-Passport;
    2. Has a mechanism in place for receiving and investigating complaints about licensed individuals;
    3. Notifies the Commission, in compliance with the terms herein, of any adverse action or significant investigatory information regarding a licensed individual;
    4. Requires an Identity History Summary of all applicants at initial licensure, including the use of the results of fingerprints or other biometric data checks compliant with the requirements of the Federal Bureau of Investigation (FBI), or other designee with similar authority, no later than ten (10) years after activation of the Compact; and
    5. Complies with the Bylaws and Rules of the Commission.

      (F) A Home State’s license grants Temporary Authorization to Practice to a psychologist in a Distant State only if the Compact State:

      1. Currently requires the psychologist to hold an active IPC;
      2. Has a mechanism in place for receiving and investigating complaints about licensed individuals;
      3. Notifies the Commission, in compliance with the terms herein, of any adverse action or significant investigatory information regarding a licensed individual;
      4. Requires an Identity History Summary of all applicants at initial licensure, including the use of the results of fingerprints or other biometric data checks compliant with the requirements of the Federal Bureau of Investigation FBI, or other designee with similar authority, no later than ten (10) years after activation of the Compact; and
      5. Complies with the Bylaws and Rules of the Commission.

ARTICLE IV

COMPACT PRIVILEGE TO PRACTICE TELEPSYCHOLOGY

  1. Compact States shall recognize the right of a psychologist, licensed in a Compact State in conformance with Article III, to practice telepsychology in other Compact States (Receiving States) in which the psychologist is not licensed, under the Authority to Practice Interjurisdictional Telepsychology as provided in the Compact.
  2. To exercise the Authority to Practice Interjurisdictional Telepsychology under the terms and provisions of this Compact, a psychologist licensed to practice in a Compact State must:
    1. Hold a graduate degree in psychology from an institute of higher education that was, at the time the degree was awarded:
      1. Regionally accredited by an accrediting body recognized by the U.S. Department of Education to grant graduate degrees, or authorized by Provincial Statute or Royal Charter to grant doctoral degrees; or
      2. A foreign college or university deemed to be equivalent to subsection 1(a) above by a foreign credential evaluation service that is a member of the National Association of Credential Evaluation Services (NACES) or by a recognized foreign credential evaluation service; and
      3. (i) The curriculum shall encompass a minimum of three (3) academic years of full-time graduate study for doctoral degree and a minimum of one academic year of full-time graduate study for master’s degree; and
      4. The program includes an acceptable residency as defined by the Rules of the Commission.

        (3) Possess a current, full and unrestricted license to practice psychology in a Home State which is a Compact State;

        (4) Have no history of adverse action that violate the Rules of the Commission;

        (5) Have no criminal record history reported on an Identity History Summary that violates the Rules of the Commission;

        (6) Possess a current, active e-Passport;

        (7) Provide attestations in regard to areas of intended practice, conformity with standards of practice, competence in telepsychology technology; criminal background; and knowledge and adherence to legal requirements in the home and receiving states, and provide a release of information to allow for primary source verification in a manner specified by the Commission; and

        (8) Meet other criteria as defined by the Rules of the Commission.

        (C) A psychologist practicing into a Receiving State under the Authority to Practice Interjurisdictional Telepsychology shall practice within areas of competencies and the scope of practice authorized by the Home State.

        (D) A psychologist practicing into a Receiving State under the Authority to Practice Interjurisdictional Telepsychology will be subject to the Home State’s authority and laws. A Receiving State may, in accordance with that state’s due process law, limit or revoke a psychologist’s Authority to Practice Interjurisdictional Telepsychology in the Receiving State and may take any other necessary actions under the Receiving State’s applicable law to protect the health and safety of the Receiving State’s citizens. If a Receiving State takes action, the state shall promptly notify the Home State and the Commission.

        (E) If a psychologist’s license in any Home State, another Compact State, or any Authority to Practice Interjurisdictional Telepsychology in any Receiving State, is restricted, suspended or otherwise limited, the e-Passport shall be revoked and therefore the psychologist shall not be eligible to practice telepsychology in a Compact State under the Authority to Practice Interjurisdictional Telepsychology.

    2. Hold a graduate degree in psychology that meets the following criteria:
      1. The program, wherever it may be administratively housed, must be clearly identified and labeled as a psychology program. Such a program must specify in pertinent institutional catalogues and brochures its intent to educate and train professional psychologists;
      2. The psychology program must stand as a recognizable, coherent, organizational entity within the institution;
      3. There must be a clear authority and primary responsibility for the core and specialty areas whether or not the program cuts across administrative lines;
      4. The program must consist of an integrated, organized sequence of study;
      5. There must be an identifiable psychology faculty sufficient in size and breadth to carry out its responsibilities;
      6. The designated director of the program must be a psychologist and a member of the core faculty;
      7. The program must have an identifiable body of students who are matriculated in that program for a degree;
      8. The program must include supervised practicum, internship, or field training appropriate to the practice of psychology;

ARTICLE V

COMPACT TEMPORARY AUTHORIZATION TO PRACTICE

  1. Compact States shall also recognize the right of a psychologist, licensed in a Compact State in conformance with Article III, to practice temporarily in other Compact States (Distant States) in which the psychologist is not licensed, as provided in the Compact.
  2. To exercise the Temporary Authorization to Practice under the terms and provisions of this Compact, a psychologist licensed to practice in a Compact State must:
    1. Hold a graduate degree in psychology from an institute of higher education that was, at the time the degree was awarded:
      1. Regionally accredited by an accrediting body recognized by the U.S. Department of Education to grant graduate degrees, or authorized by Provincial Statute or Royal Charter to grant doctoral degrees; or
      2. A foreign college or university deemed to be equivalent to subsection 1(a) above by a foreign credential evaluation service that is a member of the National Association of Credential Evaluation Services (NACES) or by a recognized foreign credential evaluation service; and
      3. (i) The curriculum shall encompass a minimum of three (3) academic years of full-time graduate study for doctoral degrees and a minimum of one academic year of full-time graduate study for master’s degree;
      4. The program includes an acceptable residency as defined by the Rules of the Commission;

        (3) Possess a current, full and unrestricted license to practice psychology in a Home State which is a Compact State;

        (4) No history of adverse action that violate the Rules of the Commission;

        (5) No criminal record history that violates the Rules of the Commission;

        (6) Possess a current, active IPC;

        (7) Provide attestations in regard to areas of intended practice and work experience and provide a release of information to allow for primary source verification in a manner specified by the Commission; and

        (8) Meet other criteria as defined by the Rules of the Commission.

        (C) A psychologist practicing into a Distant State under the Temporary Authorization to Practice shall practice within the scope of practice authorized by the Distant State.

        (D) A psychologist practicing into a Distant State under the Temporary Authorization to Practice will be subject to the Distant State’s authority and law. A Distant State may, in accordance with that state’s due process law, limit or revoke a psychologist’s Temporary Authorization to Practice in the Distant State and may take any other necessary actions under the Distant State’s applicable law to protect the health and safety of the Distant State’s citizens. If a Distant State takes action, the state shall promptly notify the Home State and the Commission.

        (E) If a psychologist’s license in any Home State, another Compact State, or any Temporary Authorization to Practice in any Distant State, is restricted, suspended or otherwise limited, the IPC shall be revoked and therefore the psychologist shall not be eligible to practice in a Compact State under the Temporary Authorization to Practice.

    2. Hold a graduate degree in psychology that meets the following criteria:
      1. The program, wherever it may be administratively housed, must be clearly identified and labeled as a psychology program. Such a program must specify in pertinent institutional catalogues and brochures its intent to educate and train professional psychologists;
      2. The psychology program must stand as a recognizable, coherent, organizational entity within the institution;
      3. There must be a clear authority and primary responsibility for the core and specialty areas whether or not the program cuts across administrative lines;
      4. The program must consist of an integrated, organized sequence of study;
      5. There must be an identifiable psychology faculty sufficient in size and breadth to carry out its responsibilities;
      6. The designated director of the program must be a psychologist and a member of the core faculty;
      7. The program must have an identifiable body of students who are matriculated in that program for a degree;
      8. The program must include supervised practicum, internship, or field training appropriate to the practice of psychology;

ARTICLE VI

CONDITIONS OF TELEPSYCHOLOGY PRACTICE IN A RECEIVING STATE

  1. A psychologist may practice in a Receiving State under the Authority to Practice Interjurisdictional Telepsychology only in the performance of the scope of practice for psychology as assigned by an appropriate State Psychology Regulatory Authority, as defined in the Rules of the Commission, and under the following circumstances:
    1. The psychologist initiates a client/patient contact in a Home State via telecommunications technologies with a client/patient in a Receiving State;
    2. Other conditions regarding telepsychology as determined by Rules promulgated by the Commission.

ARTICLE VII

ADVERSE ACTIONS

  1. A Home State shall have the power to impose adverse action against a psychologist’s license issued by the Home State. A Distant State shall have the power to take adverse action on a psychologist’s Temporary Authorization to Practice within that Distant State.
  2. A Receiving State may take adverse action on a psychologist’s Authority to Practice Interjurisdictional Telepsychology within that Receiving State. A Home State may take adverse action against a psychologist based on an adverse action taken by a Distant State regarding temporary in-person, face-to-face practice.
  3. If a Home State takes adverse action against a psychologist’s license, that psychologist’s Authority to Practice Interjurisdictional Telepsychology is terminated and the e-Passport is revoked. Furthermore, that psychologist’s Temporary Authorization to Practice is terminated and the IPC is revoked.
    1. All Home State disciplinary orders which impose adverse action shall be reported to the Commission in accordance with the Rules promulgated by the Commission. A Compact State shall report adverse actions in accordance with the Rules of the Commission.
    2. In the event discipline is reported on a psychologist, the psychologist will not be eligible for telepsychology or temporary in-person, face-to-face practice in accordance with the Rules of the Commission.
    3. Other actions may be imposed as determined by the Rules promulgated by the Commission.

      (D) A Home State’s Psychology Regulatory Authority shall investigate and take appropriate action with respect to reported inappropriate conduct engaged in by a licensee which occurred in a Receiving State as it would if such conduct had occurred by a licensee within the Home State. In such cases, the Home State’s law shall control in determining any adverse action against a psychologist’s license.

      (E) A Distant State’s Psychology Regulatory Authority shall investigate and take appropriate action with respect to reported inappropriate conduct engaged in by a psychologist practicing under Temporary Authorization Practice which occurred in that Distant State as it would if such conduct had occurred by a licensee within the Home State. In such cases, Distant State’s law shall control in determining any adverse action against a psychologist’s Temporary Authorization to Practice.

      (F) Nothing in this Compact shall override a Compact State’s decision that a psychologist’s participation in an alternative program may be used in lieu of adverse action and that such participation shall remain non-public if required by the Compact State’s law. Compact States must require psychologists who enter any alternative programs to not provide telepsychology services under the Authority to Practice Interjurisdictional Telepsychology or provide temporary psychological services under the Temporary Authorization to Practice in any other Compact State during the term of the alternative program.

      (G) No other judicial or administrative remedies shall be available to a psychologist in the event a Compact State imposes an adverse action pursuant to subsection (C), above.

ARTICLE VIII

ADDITIONAL AUTHORITIES INVESTED IN A COMPACT STATE’S PSYCHOLOGY REGULATORY AUTHORITY

  1. In addition to any other powers granted under state law, a Compact State’s Psychology Regulatory Authority shall have the authority under this Compact to:
    1. Issue subpoenas, for both hearings and investigations, which require the attendance and testimony of witnesses and the production of evidence. Subpoenas issued by a Compact State’s Psychology Regulatory Authority for the attendance and testimony of witnesses, and/or the production of evidence from another Compact State shall be enforced in the latter state by any court of competent jurisdiction, according to that court’s practice and procedure in considering subpoenas issued in its own proceedings. The issuing State Psychology Regulatory Authority shall pay any witness fees, travel expenses, mileage and other fees required by the service statutes of the state where the witnesses and/or evidence are located; and
    2. Issue cease and desist and/or injunctive relief orders to revoke a psychologist’s Authority to Practice Interjurisdictional Telepsychology and/or Temporary Authorization to Practice; and
    3. During the course of any investigation, a psychologist may not change their Home State licensure. A Home State Psychology Regulatory Authority is authorized to complete any pending investigations of a psychologist and to take any actions appropriate under its law. The Home State Psychology Regulatory Authority shall promptly report the conclusions of such investigations to the Commission. Once an investigation has been completed, and pending the outcome of said investigation, the psychologist may change their Home State licensure. The Commission shall promptly notify the new Home State of any such decisions as provided in the Rules of the Commission. All information provided to the Commission or distributed by Compact States pursuant to the psychologist shall be confidential, filed under seal and used for investigatory or disciplinary matters. The Commission may create additional rules for mandated or discretionary sharing of information by Compact States.

ARTICLE IX

COORDINATED LICENSURE INFORMATION SYSTEM

  1. The Commission shall provide for the development and maintenance of a Coordinated Licensure Information System (Coordinated Database) and reporting system containing licensure and disciplinary action information on all psychologists individuals to whom this Compact is applicable in all Compact States as defined by the Rules of the Commission.
  2. Notwithstanding any other provision of state law to the contrary, a Compact State shall submit a uniform data set to the Coordinated Database on all licensees as required by the Rules of the Commission, including:
    1. Identifying information;
    2. Licensure data;
    3. Significant investigatory information;
    4. Adverse actions against a psychologist’s license;
    5. An indicator that a psychologist’s Authority to Practice Interjurisdictional Telepsychology and/or Temporary Authorization to Practice is revoked;
    6. Non-confidential information related to alternative program participation information;
    7. Any denial of application for licensure, and the reasons for such denial; and
    8. Other information which may facilitate the administration of this Compact, as determined by the Rules of the Commission.

      (C) The Coordinated Database administrator shall promptly notify all Compact States of any adverse action taken against, or significant investigative information on, any licensee in a Compact State.

      (D) Compact States reporting information to the Coordinated Database may designate information that may not be shared with the public without the express permission of the Compact State reporting the information.

      (E) Any information submitted to the Coordinated Database that is subsequently required to be expunged by the law of the Compact State reporting the information shall be removed from the Coordinated Database.

ARTICLE X

ESTABLISHMENT OF THE PSYCHOLOGY INTERJURISDICTIONAL COMPACT COMMISSION

  1. The Compact States hereby create and establish a joint public agency known as the Psychology Interjurisdictional Compact Commission.
    1. The Commission is a body politic and an instrumentality of the Compact States.
    2. Venue is proper and judicial proceedings by or against the Commission shall be brought solely and exclusively in a court of competent jurisdiction where the principal office of the Commission is located. The Commission may waive venue and jurisdictional defenses to the extent it adopts or consents to participate in alternative dispute resolution proceedings.
    3. Nothing in this Compact shall be construed to be a waiver of sovereign immunity.

      (B) Membership, Voting, and Meetings.

      1. The Commission shall consist of one voting representative appointed by each Compact State who shall serve as that state’s Commissioner. The State Psychology Regulatory Authority shall appoint its delegate. This delegate shall be empowered to act on behalf of the Compact State. This delegate shall be limited to:
        1. Executive Director, Executive Secretary or similar executive;
        2. Current member of the State Psychology Regulatory Authority of a Compact State; or
        3. Designee empowered with the appropriate delegate authority to act on behalf of the Compact State.
        4. (i) Disclosure of information related to any investigatory reports prepared by or on behalf of or for use of the Commission or other committee charged with responsibility for investigation or determination of compliance issues pursuant to the Compact; or
        5. Matters specifically exempted from disclosure by federal and state statute.

          (7) If a meeting, or portion of a meeting, is closed pursuant to this provision, the Commission’s legal counsel or designee shall certify that the meeting may be closed and shall reference each relevant exempting provision. The Commission shall keep minutes which fully and clearly describe all matters discussed in a meeting and shall provide a full and accurate summary of actions taken, of any person participating in the meeting, and the reasons therefore, including a description of the views expressed. All documents considered in connection with an action shall be identified in such minutes. All minutes and documents of a closed meeting shall remain under seal, subject to release only by a majority vote of the Commission or order of a court of competent jurisdiction.

          (C) The Commission shall, by a majority vote of the Commissioners, prescribe Bylaws and/or Rules to govern its conduct as may be necessary or appropriate to carry out the purposes and exercise the powers of the Compact, including, but not limited to:

      2. Any Commissioner may be removed or suspended from office as provided by the law of the state from which the Commissioner is appointed. Any vacancy occurring in the Commission shall be filled in accordance with the laws of the Compact State in which the vacancy exists.
      3. Each Commissioner shall be entitled to one vote with regard to the promulgation of Rules and creation of Bylaws and shall otherwise have an opportunity to participate in the business and affairs of the Commission. A Commissioner shall vote in person or by such other means as provided in the Bylaws. The Bylaws may provide for Commissioners’ participation in meetings by telephone or other means of communication.
      4. The Commission shall meet at least once during each calendar year. Additional meetings shall be held as set forth in the Bylaws.
      5. All meetings shall be open to the public, and public notice of meetings shall be given in the same manner as required under the rulemaking provisions in Article XI.
      6. The Commission may convene in a closed, non-public meeting if the Commission must discuss:
        1. Non-compliance of a Compact State with its obligations under the Compact;
        2. The employment, compensation, discipline or other personnel matters, practices or procedures related to specific employees or other matters related to the Commission’s internal personnel practices and procedures;
        3. Current, threatened, or reasonably anticipated litigation against the Commission;
        4. Negotiation of contracts for the purchase or sale of goods, services or real estate;
        5. Accusation against any person of a crime or formally censuring any person;
        6. Disclosure of trade secrets or commercial or financial information which is privileged or confidential;
        7. Disclosure of information of a personal nature where disclosure would constitute a clearly unwarranted invasion of personal privacy;
        8. Disclosure of investigatory records compiled for law enforcement purposes;
          1. Establishing the fiscal year of the Commission.
          2. Providing reasonable standards and procedures:
            1. For the establishment and meetings of other committees; and
            2. Governing any general or specific delegation of any authority or function of the Commission;
          3. Providing reasonable procedures for calling and conducting meetings of the Commission, ensuring reasonable advance notice of all meetings and providing an opportunity for attendance of such meetings by interested parties, with enumerated exceptions designed to protect the public’s interest, the privacy of individuals of such proceedings, and proprietary information, including trade secrets. The Commission may meet in closed session only after a majority of the Commissioners vote to close a meeting to the public in whole or in part. As soon as practicable, the Commission must make public a copy of the vote to close the meeting revealing the vote of each Commissioner with no proxy votes allowed.
          4. Establishing the titles, duties and authority and reasonable procedures for the election of the officers of the Commission.
          5. Providing reasonable standards and procedures for the establishment of the personnel policies and programs of the Commission. Notwithstanding any civil service or other similar law of any Compact State, the Bylaws shall exclusively govern the personnel policies and programs of the Commission.
          6. Promulgating a Code of Ethics to address permissible and prohibited activities of Commission members and employees;
          7. Providing a mechanism for concluding the operations of the Commission and the equitable disposition of any surplus funds that may exist after the termination of the Compact after the payment and/or reserving of all of its debts and obligations;
          8. The Commission shall publish its bylaws in a convenient form and file a copy thereof and a copy of any amendment thereto, with the appropriate agency or officer in each of the Compact States;
          9. The Commission shall maintain its financial records in accordance with the Bylaws; and
          10. The Commission shall meet and take such actions as are consistent with the provisions of this Compact and the bylaws.

            (D) The Commission shall have the following powers:

            1. The authority to promulgate uniform rules to facilitate and coordinate implementation and administration of this Compact. The rule shall have the force and effect of law and shall be binding in all Compact States;
            2. To bring and prosecute legal proceedings or actions in the name of the Commission, provided that the standing of any State Psychology Regulatory Authority or other regulatory body responsible for psychology licensure to sue or be sued under applicable law shall not be affected;
            3. To purchase and maintain insurance and bonds;
            4. To borrow, accept or contract for services of personnel, including, but not limited to, employees of a Compact State;
            5. To hire employees, elect or appoint officers, fix compensation, define duties, grant such individuals appropriate authority to carry out the purposes of the Compact, and to establish the Commission’s personnel policies and programs relating to conflicts of interest, qualifications of personnel, and other related personnel matters;
            6. To accept any and all appropriate donations and grants of money, equipment, supplies, materials and services, and to receive, utilize and dispose of the same; provided that at all times the Commission shall strive to avoid any appearance of impropriety and/or conflict of interest;
            7. To lease, purchase, accept appropriate gifts or donations of, or otherwise to own, hold, improve or use, any property, real, personal or mixed; provided that at all times the Commission shall strive to avoid any appearance of impropriety;
            8. To sell, convey, mortgage, pledge, lease, exchange, abandon or otherwise dispose of any property real, personal or mixed;
            9. To establish a budget and make expenditures;
            10. To borrow money;
            11. To appoint committees, including advisory committees comprised of Members, State regulators, State legislators or their representatives, and consumer representatives, and such other interested persons as may be designated in this Compact and the bylaws;
            12. To provide and receive information from, and to cooperate with, law enforcement agencies;
            13. To adopt and use an official seal; and
            14. To perform such other functions as may be necessary or appropriate to achieve the purposes of this Compact consistent with the state regulation of psychology licensure, temporary in-person, face-to-face practice and telepsychology practice.

              (E) The Executive Board.

              The elected officers shall serve as the Executive Board, which shall have the power to act on behalf of the Commission according to the terms of this Compact.

              1. The Executive Board shall be comprised of six (6) members:
                1. Five (5) voting members who are elected from the current membership of the Commission by the Commission;
                2. One exofficio, nonvoting member from the recognized membership organization composed of State and Provincial Psychology Regulatory Authorities.
              2. The exofficio member must have served as staff or member on a State Psychology Regulatory Authority and will be selected by its respective organization.
              3. The Commission may remove any member of the Executive Board as provided in Bylaws.
              4. The Executive Board shall meet at least annually.
              5. The Executive Board shall have the following duties and responsibilities:
                1. Recommend to the entire Commission changes to the Rules or bylaws, changes to this Compact legislation, fees paid by Compact States such as annual dues, and any other applicable fees;
                2. Ensure Compact administration services are appropriately provided, contractual or otherwise;
                3. Prepare and recommend the budget;
                4. Maintain financial records on behalf of the Commission;
                5. Monitor Compact compliance of member states and provide compliance reports to the Commission;
                6. Establish additional committees as necessary; and
                7. Other duties as provided in Rules or bylaws.

                  (F) Financing of the Commission

                  1. The Commission shall pay, or provide for the payment of the reasonable expenses of its establishment, organization and ongoing activities.
                  2. The Commission may accept any and all appropriate revenue sources, donations and grants of money, equipment, supplies, materials and services.
                  3. The Commission may levy on and collect an annual assessment from each Compact State or impose fees on other parties to cover the cost of the operations and activities of the Commission and its staff which must be in a total amount sufficient to cover its annual budget as approved each year for which revenue is not provided by other sources. The aggregate annual assessment amount shall be allocated based upon a formula to be determined by the Commission which shall promulgate a rule binding upon all Compact States.
                  4. The Commission shall not incur obligations of any kind prior to securing the funds adequate to meet the same; nor shall the Commission pledge the credit of any of the Compact States, except by and with the authority of the Compact State.
                  5. The Commission shall keep accurate accounts of all receipts and disbursements. The receipts and disbursements of the Commission shall be subject to the audit and accounting procedures established under its Bylaws. However, all receipts and disbursements of funds handled by the Commission shall be audited yearly by a certified or licensed public accountant and the report of the audit shall be included in and become part of the annual report of the Commission.

                    (G) Qualified Immunity, Defense, and Indemnification.

                    1. The members, officers, Executive Director, employees and representatives of the Commission shall be immune from suit and liability, either personally or in their official capacity, for any claim for damage to or loss of property or personal injury or other civil liability caused by or arising out of any actual or alleged act, error or omission that occurred, or that the person against whom the claim is made had a reasonable basis for believing occurred within the scope of Commission employment, duties or responsibilities; provided that nothing in this subsection shall be construed to protect any such person from suit and/or liability for any damage, loss, injury or liability caused by the intentional or willful or wanton misconduct of that person.
                    2. The Commission shall defend any member, officer, Executive Director, employee or representative of the Commission in any civil action seeking to impose liability arising out of any actual or alleged act, error or omission that occurred within the scope of Commission employment, duties or responsibilities, or that the person against whom the claim is made had a reasonable basis for believing occurred within the scope of Commission employment, duties or responsibilities; provided that nothing herein shall be construed to prohibit that person from retaining that person’s own counsel; and provided further, that the actual or alleged act, error or omission did not result from that person’s intentional or willful or wanton misconduct.
                    3. The Commission shall indemnify and hold harmless any member, officer, Executive Director, employee or representative of the Commission for the amount of any settlement or judgment obtained against that person arising out of any actual or alleged act, error or omission that occurred within the scope of Commission employment, duties or responsibilities, or that such person had a reasonable basis for believing occurred within the scope of Commission employment, duties or responsibilities, provided that the actual or alleged act, error or omission did not result from the intentional or willful or wanton misconduct of that person.

ARTICLE XI

RULEMAKING

  1. The Commission shall exercise its rulemaking powers pursuant to the criteria set forth in this Article and the Rules adopted thereunder. Rules and amendments shall become binding as of the date specified in each rule or amendment.
  2. If a majority of the legislatures of the Compact States rejects a rule, by enactment of a statute or resolution in the same manner used to adopt the Compact, then such rule shall have no further force and effect in any Compact State.
  3. Rules or amendments to the rules shall be adopted at a regular or special meeting of the Commission.
  4. Prior to promulgation and adoption of a final rule or Rules by the Commission, and at least sixty (60) days in advance of the meeting at which the rule will be considered and voted upon, the Commission shall file a Notice of Proposed Rulemaking:
    1. On the website of the Commission; and
    2. On the website of each Compact States’ Psychology Regulatory Authority or the publication in which each state would otherwise publish proposed rules.

      (E) The Notice of Proposed Rulemaking shall include:

      1. The proposed time, date, and location of the meeting in which the rule will be considered and voted upon;
      2. The text of the proposed rule or amendment and the reason for the proposed rule;
      3. A request for comments on the proposed rule from any interested person; and
      4. The manner in which interested persons may submit notice to the Commission of their intention to attend the public hearing and any written comments.

        (F) Prior to adoption of a proposed rule, the Commission shall allow persons to submit written data, facts, opinions and arguments, which shall be made available to the public.

        (G) The Commission shall grant an opportunity for a public hearing before it adopts a rule or amendment if a hearing is requested by:

        1. At least twenty-five (25) persons who submit comments independently of each other;
        2. A governmental subdivision or agency; or
        3. A duly appointed person in an association that has at least twenty-five (25) members.

          (H) If a hearing is held on the proposed rule or amendment, the Commission shall publish the place, time, and date of the scheduled public hearing.

          1. All persons wishing to be heard at the hearing shall notify the Executive Director of the Commission or other designated member in writing of their desire to appear and testify at the hearing not less than five (5) business days before the scheduled date of the hearing.
          2. Hearings shall be conducted in a manner providing each person who wishes to comment a fair and reasonable opportunity to comment orally or in writing.
          3. No transcript of the hearing is required, unless a written request for a transcript is made, in which case the person requesting the transcript shall bear the cost of producing the transcript. A recording may be made in lieu of a transcript under the same terms and conditions as a transcript. This subsection shall not preclude the Commission from making a transcript or recording of the hearing if it so chooses.
          4. Nothing in this section shall be construed as requiring a separate hearing on each rule. Rules may be grouped for the convenience of the Commission at hearings required by this section.
    1. Following the scheduled hearing date, or by the close of business on the scheduled hearing date if the hearing was not held, the Commission shall consider all written and oral comments received.

      (J) The Commission shall, by majority vote of all members, take final action on the proposed rule and shall determine the effective date of the rule, if any, based on the rulemaking record and the full text of the rule.

      (K) If no written notice of intent to attend the public hearing by interested parties is received, the Commission may proceed with promulgation of the proposed rule without a public hearing.

      (L) Upon determination that an emergency exists, the Commission may consider and adopt an emergency rule without prior notice, opportunity for comment, or hearing, provided that the usual rulemaking procedures provided in the Compact and in this section shall be retroactively applied to the rule as soon as reasonably possible, in no event later than ninety (90) days after the effective date of the rule. For the purposes of this provision, an emergency rule is one that must be adopted immediately in order to:

      1. Meet an imminent threat to public health, safety, or welfare;
      2. Prevent a loss of Commission or Compact State funds;
      3. Meet a deadline for the promulgation of an administrative rule that is established by federal law or rule; or
      4. Protect public health and safety.

        (M) The Commission or an authorized committee of the Commission may direct revisions to a previously adopted rule or amendment for purposes of correcting typographical errors, errors in format, errors in consistency, or grammatical errors. Public notice of any revisions shall be posted on the website of the Commission. The revision shall be subject to challenge by any person for a period of thirty (30) days after posting. The revision may be challenged only on grounds that the revision results in a material change to a rule. A challenge shall be made in writing, and delivered to the Chair of the Commission prior to the end of the notice period. If no challenge is made, the revision will take effect without further action. If the revision is challenged, the revision may not take effect without the approval of the Commission.

ARTICLE XII

OVERSIGHT, DISPUTE RESOLUTION AND ENFORCEMENT

  1. Oversight.
    1. The Executive, Legislative and Judicial branches of state government in each Compact State shall enforce this Compact and take all actions necessary and appropriate to effectuate the Compact’s purposes and intent. The provisions of this Compact and the rules promulgated hereunder shall have standing as statutory law.
    2. All courts shall take judicial notice of the Compact and the rules in any judicial or administrative proceeding in a Compact State pertaining to the subject matter of this Compact which may affect the powers, responsibilities or actions of the Commission.
    3. The Commission shall be entitled to receive service of process in any such proceeding, and shall have standing to intervene in such a proceeding for all purposes. Failure to provide service of process to the Commission shall render a judgment or order void as to the Commission, this Compact or promulgated rules.

      (B) Default, Technical Assistance, and Termination.

      1. If the Commission determines that a Compact State has defaulted in the performance of its obligations or responsibilities under this Compact or the promulgated rules, the Commission shall:
        1. Provide written notice to the defaulting state and other Compact States of the nature of the default, the proposed means of remedying the default and/or any other action to be taken by the Commission; and
        2. Provide remedial training and specific technical assistance regarding the default.
      2. If a state in default fails to remedy the default, the defaulting state may be terminated from the Compact upon an affirmative vote of a majority of the Compact States, and all rights, privileges and benefits conferred by this Compact shall be terminated on the effective date of termination. A remedy of the default does not relieve the offending state of obligations or liabilities incurred during the period of default.
      3. Termination of membership in the Compact shall be imposed only after all other means of securing compliance have been exhausted. Notice of intent to suspend or terminate shall be submitted by the Commission to the Governor, the majority and minority leaders of the defaulting state’s legislature, and each of the Compact States.
      4. A Compact State which has been terminated is responsible for all assessments, obligations and liabilities incurred through the effective date of termination, including obligations which extend beyond the effective date of termination.
      5. The Commission shall not bear any costs incurred by the state which is found to be in default or which has been terminated from the Compact, unless agreed upon in writing between the Commission and the defaulting state.
      6. The defaulting state may appeal the action of the Commission by petitioning the U.S. District Court for the state of Georgia or the federal district where the Compact has its principal offices. The prevailing member shall be awarded all costs of such litigation, including reasonable attorney’s fees.

        (C) Dispute Resolution.

        1. Upon request by a Compact State, the Commission shall attempt to resolve disputes related to the Compact which arise among Compact States and between Compact and Non- Compact States.
        2. The Commission shall promulgate a rule providing for both mediation and binding dispute resolution for disputes that arise before the commission.

          (D) Enforcement.

          1. The Commission, in the reasonable exercise of its discretion, shall enforce the provisions and Rules of this Compact.
          2. By majority vote, the Commission may initiate legal action in the United States District Court for the State of Georgia or the federal district where the Compact has its principal offices against a Compact State in default to enforce compliance with the provisions of the Compact and its promulgated Rules and Bylaws. The relief sought may include both injunctive relief and damages. In the event judicial enforcement is necessary, the prevailing member shall be awarded all costs of such litigation, including reasonable attorney’s fees.
          3. The remedies herein shall not be the exclusive remedies of the Commission. The Commission may pursue any other remedies available under federal or state law.

ARTICLE XIII

DATE OF IMPLEMENTATION OF THE PSYCHOLOGY INTERJURISDICTIONAL COMPACT COMMISSION AND ASSOCIATED RULES, WITHDRAWAL, AND AMENDMENTS

  1. The Compact shall come into effect on the date on which the Compact is enacted into law in the seventh Compact State. The provisions which become effective at that time shall be limited to the powers granted to the Commission relating to assembly and the promulgation of rules. Thereafter, the Commission shall meet and exercise rulemaking powers necessary to the implementation and administration of the Compact.
  2. Any state which joins the Compact subsequent to the Commission’s initial adoption of the rules shall be subject to the rules as they exist on the date on which the Compact becomes law in that state. Any rule which has been previously adopted by the Commission shall have the full force and effect of law on the day the Compact becomes law in that state.
  3. Any Compact State may withdraw from this Compact by enacting a statute repealing the same.
    1. A Compact State’s withdrawal shall not take effect until six (6) months after enactment of the repealing statute.
    2. Withdrawal shall not affect the continuing requirement of the withdrawing State’s Psychology Regulatory Authority to comply with the investigative and adverse action reporting requirements of this act prior to the effective date of withdrawal.

      (D) Nothing contained in this Compact shall be construed to invalidate or prevent any psychology licensure agreement or other cooperative arrangement between a Compact State and a Non-Compact State which does not conflict with the provisions of this Compact.

      (E) This Compact may be amended by the Compact States. No amendment to this Compact shall become effective and binding upon any Compact State until it is enacted into the law of all Compact States.

ARTICLE XIV

CONSTRUCTION AND SEVERABILITY

This Compact shall be liberally construed so as to effectuate the purposes thereof. If this Compact shall be held contrary to the constitution of any state member thereto, the Compact shall remain in full force and effect as to the remaining Compact States.

History of Section. P.L. 2022, ch. 109, § 1, effective June 21, 2022; P.L. 2022, ch. 110, § 1, effective June 21, 2022.

5-44.1-3. Ratification procedure — Effective date.

When the governor shall have executed the compact on behalf of this state and shall have caused a verified copy to be filed with the secretary of state; and when the compact shall have been ratified by one or more of the states, territories or possessions of the United States, the District of Columbia, and/or the Commonwealth of Puerto Rico, then the compact shall become operative and effective as between this state and those other state or states, territories or possessions of the United States, the District of Columbia, and/or the Commonwealth of Puerto Rico. The governor is authorized and directed to take any action that may be necessary to complete the exchange of official documents as between this state and any other state, territory or possession of the United States, the District of Columbia, or the Commonwealth of Puerto Rico, ratifying the compact.

History of Section. P.L. 2022, ch. 109, § 1, effective June 21, 2022; P.L. 2022, ch. 110, § 1, § 1, effective June 21, 2022.

5-44.1-4. Compact administrator.

Pursuant to the compact, the governor is authorized and empowered to designate an officer who shall be the compact administrator and who, acting jointly with like officers of other party states, shall promulgate rules and regulations to more effectively carry out the terms of the compact. The compact administrator shall serve subject to the pleasure of the governor. The compact administrator is authorized, empowered and directed to cooperate with all departments, agencies and officers of and in the government of this state and its subdivisions in facilitating the proper administration of the compact or of any supplementary agreement or agreements entered into by this state under it.

History of Section. P.L. 2022, ch. 109, § 1, effective June 21, 2022; P.L. 2022, ch. 110, § 1, § 1, effective June 21, 2022.

5-44.1-5. Supplementary agreements.

The compact administrator is authorized and empowered to enter into supplementary agreements with appropriate officials of other states pursuant to the compact. In the event that a supplementary agreement shall require or contemplate the use of any institution or facility of this state or require or contemplate the provision of any service by this state, the supplementary agreement shall have no force or effect until approved by the head of the department or agency under whose jurisdiction the institution or facility is operated or whose department or agency will be charged with the rendering of the service.

History of Section. P.L. 2022, ch. 109, § 1, effective June 21, 2022; P.L. 2022, ch. 110, § 1, § 1, effective June 21, 2022.

Chapter 45 Nursing Home Administrators

5-45-1. Board of examiners — Creation — Composition — Appointment, terms, oath, and removal of members — Meetings.

  1. Within the department of health, there shall be a board of examiners for nursing home administrators. The board shall be appointed by the director of the department of health, with the approval of the governor, and shall consist of seven (7) persons who shall be certified electors of this state.
    1. Three (3) members of the board shall be persons licensed as nursing home administrators pursuant to the provisions of this chapter.
    2. Two (2) members of the board shall be representatives from senior citizen groups.
    3. On June 1, 1979, two (2) additional qualified members are appointed. One shall be a nurse who is licensed in the state, is a graduate of an accredited school of nursing, and has been actively engaged in nursing service for at least two (2) years immediately preceding appointment or reappointment. The other member shall be a physician licensed to practice medicine in this state, who has been actively engaged in the practice of medicine for at least two (2) years immediately preceding appointment or reappointment. The physician and nurse members of the board shall be representative of those persons of the profession concerned with the care and treatment of chronically ill or infirm elderly patients.
    4. A majority of the board members may not be representative of a single profession or category of institution, and members who are not representative of institutions may not have a direct financial interest in any nursing home. Licensed nursing home administrators shall be considered representatives of institutions for the purpose of this section.
  2. Members shall be appointed to a term of three (3) years. No member shall serve more than two (2) terms. The director of the department of health shall, with the approval of the governor, appoint to vacancies, as they occur, a qualified person to serve on the board for the remainder of the term and until his or her successor is appointed and qualified.
  3. The director of the department of health may remove, after a hearing and with the approval of the governor, any member of the board for neglect of any duty required by law or for any incompetency or unprofessional or dishonorable conduct. Vacancies shall be filled in the same manner as the original appointment was made for the remainder of the term. Before beginning his or her term of office, each member shall take the oath prescribed by law for state officers, a record of which shall be filed with the secretary of state.
  4. The director shall appoint a chairperson. No member shall serve as chairperson for more than three (3) years.
  5. Four (4) members of the board shall constitute a quorum.
  6. The members of the board shall serve without compensation.
  7. Meetings shall be called by the director of the department of health, or his or her authorized designee, or by a majority of the members of the board.
  8. The administrator of professional regulation of the department of health, as provided by chapter 26 of this title, shall serve as administrative agent of the board.

History of Section. P.L. 1970, ch. 306, § 1; P.L. 1978, ch. 227, § 1; P.L. 1979, ch. 170, § 1; P.L. 1994, ch. 91, § 1; P.L. 2019, ch. 308, art. 1, § 22.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

Cross References.

Boards of examiners appointed by director of health, § 5-26-2 .

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

Comparative Legislation.

Nursing home administrators:

Conn. Gen. Stat. § 19a-511 et seq.

Mass. Ann. Laws ch. 112, § 108 et seq.

5-45-2. Functions of the department of health.

It is the function of the department of health to:

  1. Develop, impose, and enforce standards that must be met by an individual in order to receive a license as a nursing home administrator. These standards shall be designed to ensure that nursing home administrators will be individuals who are of good character and are suitable, and who, by training or experience in the field of institutional administration, shall be qualified to serve as nursing home administrators;
  2. Establish and carry out procedures designed to ensure that individuals licensed as nursing home administrators will, during any period that they serve as nursing home administrators, comply with the requirements of those standards;
  3. Receive, investigate, and take appropriate action with respect to any charge or complaint filed with the department to the effect that any individual licensed as a nursing home administrator has failed to comply with the requirements of those standards;
  4. Conduct a continuing study and investigation of nursing homes and administrators of nursing homes within the state, with a view to improving the standards imposed for the licensing of those administrators, and of procedures and methods for enforcing those standards with respect to licensed nursing home administrators.

History of Section. P.L. 1970, ch. 306, § 1.

5-45-3. Board of examiners — Functions.

  1. It is the function of the board to:
    1. Conduct examinations as required by the department and to act in an advisory capacity to the department in all matters pertaining to the licensing of nursing home administrators;
    2. Develop and apply appropriate techniques, including examinations and investigations, for determining whether an individual meets those standards, subject to the approval of the director;
    3. Recommend to the department the issuance of licenses and registrations to individuals determined, after application of those techniques, to meet those standards; and to recommend to the director the revocation or suspension of licenses or registrations previously issued; and to recommend disciplinary action to be taken against a nursing home administrator, including placing a licensee on probation, and ordering continuing education or professional mentoring by nursing facility professionals in any case where the individual holding that license or registration is determined substantially to have failed to conform to the requirements of those standards or when a nursing facility under the administrator’s control has been found on its survey to have continued poor performance or is repeatedly unable to remain in compliance with standards; and
    4. Adopt, on or before January 1, 1995, with the approval of the director of the department of health, rules and regulations governing a mandatory program of continuing education for nursing home administrators.
  2. Programs for continuing education for nursing facility administrators may be presented by:
    1. The Rhode Island Health Care Association;
    2. The Rhode Island Association of Facilities for the Aging;
    3. The American College of Health Care Administrators;
    4. The Alliance for Better Nursing Home Care;
    5. Nationally recognized associations of the groups listed in subsections (b)(1) — (b)(4);
    6. Any accredited college or university; or
    7. Any organizations authorized and approved by the department.

History of Section. P.L. 1970, ch. 306, § 1; P.L. 1979, ch. 170, § 1; P.L. 1980, ch. 82, § 1; P.L. 1994, ch. 91, § 1; P.L. 2005, ch. 157, § 3; P.L. 2005, ch. 249, § 3.

5-45-4. Definitions.

For the purpose of this chapter, and as used in it:

  1. “Board” means the board of examiners for nursing home administrators established by this chapter.
  2. “Department” means the department of health.
  3. “Designee” means any subordinate official of the department authorized by the director to carry out any of the powers and responsibilities granted to him or her by this chapter.
  4. “Director” means the director of the department of health.
  5. “Nursing home” means any facility providing nursing care to any in-patient that is required to be licensed under any law or regulation of the state and is further defined as a skilled nursing home by the licensing authority of the state.
  6. “Nursing home administrator” means the individual responsible for planning, organizing, directing, and controlling the operation of the nursing home, whether or not those functions are shared by one or more other persons.

History of Section. P.L. 1970, ch. 306, § 1.

5-45-5. Administrator’s license required to operate nursing home.

No nursing home shall operate except under the supervision of a nursing home administrator, and no person shall be a nursing home administrator unless he or she is the holder of a sufficient nursing home administrator’s license issued pursuant to this chapter.

History of Section. P.L. 1970, ch. 306, § 1.

5-45-6. Licensing function of department of health — Term of licenses — Appeal of license denials, suspensions, or revocations.

The department shall license nursing home administrators in accordance with rules and regulations adopted by the board with the approval of the director. A nursing home administrator’s license shall be nontransferable and shall be valid until the following June 30th, or until surrendered for cancellation, or suspended or revoked for violation of this chapter or any other laws or regulations relating to the proper operation of a nursing home. Any denial of issuance or renewal or any suspension or revocation shall be subject to review upon the timely request of the licensee and pursuant to the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1970, ch. 306, § 1.

Collateral References.

Licensing and regulation of nursing or rest homes. 53 A.L.R.4th 689.

5-45-7. Qualification for licensure.

In order to be eligible for licensure pursuant to this chapter, a person shall:

  1. Be not less than eighteen (18) years of age and of good moral character;
  2. Have satisfactorily completed a course of instruction and training approved by the department. The course shall be designed as to content and administered as to present sufficient knowledge of the needs properly to be served by nursing homes; laws governing the operation of nursing homes and the protection of the interests of patients in the nursing homes; and the elements of good nursing home administration;
  3. Have passed an examination conducted by the board and designed to test for competence in the subject matter referred to in subsection (2). Where the department deems it appropriate for purposes of according with religious teachings, the examination of an individual may exclude any subjects that could be considered in derogation of, or in conflict with, the teachings and practice of any recognized religious faith. Any license issued on the basis of that abridged examination shall be annotated to designate the appropriate limitation of the type of facility of which the licensed individual may be an administrator; and
  4. Pay licensure fees as set forth in § 23-1-54 .

History of Section. P.L. 1970, ch. 306, § 1; P.L. 1978, ch. 124, § 1; P.L. 1986, ch. 391, § 1; P.L. 2012, ch. 241, art. 9, § 18.

5-45-8. Licensure in other jurisdictions.

The department may issue a nursing home administrator’s license without examination, to any person who holds a current license in good standing as a nursing home administrator from another jurisdiction; provided, that the department finds that the individual meets education and experience requirements as established by the department regulation. For purposes of this section, the department shall not disqualify an applicant on the basis that his or her most recent experience was in a management position having direct responsibility for overseeing and directing a number of licensed nursing home administrators, rather than as an administrator of a licensed long-term-care facility.

History of Section. P.L. 1970, ch. 306, § 1; P.L. 1999, ch. 150, § 1; P.L. 2013, ch. 254, § 1; P.L. 2013, ch. 383, § 1.

5-45-9. Courses of instruction and training.

If the department finds that there are not a sufficient number of courses of instruction and training conducted within the state to meet the requirements of this chapter, it may conduct one or more of these courses, and make provisions for those courses and their accessibility to residents of this state. The board of governors for higher education shall cooperate with the department in establishing and conducting those courses.

History of Section. P.L. 1970, ch. 306, § 1.

5-45-10. Renewal of licenses — Continuing education.

  1. Every holder of a nursing home administrator’s license shall renew it every two (2) years by applying to the department on forms provided by that agency.
  2. Each renewal application shall be accompanied by the fee as set forth in § 23-1-54 .
  3. Beginning January 1, 1996, proof of satisfactory completion of a minimum of forty (40) clock hours of continuing education every two (2) years must be submitted with the renewal application.
  4. Renewals shall be granted as a matter of course, unless the agency finds the applicant has acted or failed to act in a manner or under circumstances that would constitute grounds for suspension or revocation of a license.

History of Section. P.L. 1970, ch. 306, § 1; P.L. 1978, ch. 124, § 1; P.L. 1993, ch. 138, art. 71, § 6; P.L. 1994, ch. 91, § 1; P.L. 2001, ch. 77, art. 14, § 18; P.L. 2007, ch. 73, art. 39, § 16; P.L. 2012, ch. 241, art. 9, § 18.

5-45-11. Penalty for violations.

It is a misdemeanor punishable by a fine of not more than five hundred dollars ($500), or by imprisonment for not more than one year, or both, for any person to:

  1. Sell or fraudulently obtain or furnish any license or aid or abet in this violation;
  2. Practice as a nursing home administrator under cover of any license or registration illegally or fraudulently obtained or unlawfully issued;
  3. Practice as a nursing home administrator, or use in connection with his or her name any designation tending to imply that he or she is a nursing home administrator, unless licensed and registered to practice under the provisions of this chapter;
  4. Practice as a nursing home administrator during the time his or her license or registration issued under the provisions of this chapter is suspended or revoked; or
  5. Violate any of the provisions of this chapter.

History of Section. P.L. 1970, ch. 306, § 1.

5-45-12. Disciplinary proceedings — Grounds for discipline.

  1. The department may suspend, revoke, or refuse to renew any license issued under this chapter, or may reprimand, censure, or discipline a licensee or may require participation in continuing education or professional mentoring or may place an administrator on probation in accordance with the provisions of this section, upon decision and after a hearing as provided by chapter 35 of title 42, upon proof that the licensee engaged in unprofessional conduct. Unprofessional conduct includes, but is not limited to, any of the following:
    1. Being unfit or incompetent by reason of negligence, habits, or other causes;
    2. Violating any of the provisions of this chapter or the rules enacted in accordance with it; or acting in a manner inconsistent with the health and safety of the patients of the nursing facility in which he or she is the administrator;
    3. Engaging in fraud or deceit in the practice of nursing home administration, or in his or her admission to this practice;
    4. Being convicted in a court of competent jurisdiction, either within or without this state, of a felony; or
    5. Failing to conform to minimal standards of acceptable and prevailing practice of nursing home administration.
  2. If a nursing home administrator is placed on probation, the department may require the licensee to:
    1. Report regularly to the department on matters that are the basis of the probation;
    2. Limit practice to the areas prescribed by the department; or
    3. Complete a prescribed program of continuing professional education until the licensee attains a degree of skill satisfactory to the department in those areas that are the basis of the probation.

History of Section. P.L. 1970, ch. 306, § 1; P.L. 1997, ch. 61, § 1; P.L. 2005, ch. 157, § 3; P.L. 2005, ch. 249, § 3.

5-45-13. Rules and regulations.

The department is empowered to make any changes in rules and regulations established pursuant to this chapter necessary to conform with federal statutes and regulations relating to the licensure of nursing home administrators.

History of Section. P.L. 1970, ch. 306, § 1.

5-45-14. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1989, ch. 126, art. 26, § 17; P.L. 1995, ch. 370, art. 40, § 24.

Chapter 46 Automobile Clubs

5-46-1. Posting of surety bonds.

No automobile club, motor club, association, corporation, firm, or person engaged in any trade or business involving contractual reimbursement for towing, fines, accidental injury or death benefits, or engaged in the business of an automobile club, motor club, or traveler’s club, shall issue any contract, policy, agreement, or engage in that business until it has placed upon deposit with the state treasurer the sum of one hundred thousand dollars ($100,000) in cash, securities, or a surety bond. This section shall not apply to any club, corporation, or person who or that has placed upon deposit an equivalent amount in cash or surety bond with the state treasurer or insurance commissioner of any other state, and has placed on record as evidence of that deposit, with the secretary of state, a certified copy of the receipt of that deposit or bond and any renewal of it.

History of Section. P.L. 1972, ch. 102, § 1.

Comparative Legislation.

Automobile clubs:

Conn. Gen. Stat. § 14-67.

Mass. Ann. Laws ch. 174B, § 1 et seq.

Chapter 47 Wrecking Contractors

5-47-1. Safeguards at demolition sites.

Any person, firm, corporation, or other business entity engaged in the demolition of any building or other structure shall provide adequate safeguards for the protection of the general public, and shall be responsible to keep the area of the demolition free from unnecessary debris, and police the area of the demolition each day until the job is completed.

History of Section. P.L. 1972, ch. 150, § 1.

Comparative Legislation.

Auto graveyards:

Conn. Gen. Stat. § 14-67g et seq.

Mass. Ann. Laws ch. 140B, § 1 et seq.

Collateral References.

Absolute liability for blasting operations as extending to injury or damage not immediately caused by debris or concussion from explosion. 56 A.L.R.3d 1017.

Liability of contractor or owner of building being demolished for injuries to infant or premises. 64 A.L.R.2d 972.

5-47-2. Reimbursements to municipal or volunteer firefighters.

If it is necessary to utilize the personnel and equipment of the municipal fire department or voluntary fire department because of a fire at the demolition site, the person, firm, corporation, or other business entity engaged in the demolition shall reimburse the municipality or the voluntary fire department for the use of the fire equipment and personnel hours required to extinguish the fire.

History of Section. P.L. 1972, ch. 150, § 1.

Chapter 48 Speech-Language Pathology and Audiology

5-48-1. Purpose and legislative intent — Definitions.

  1. It is declared to be a policy of this state that the practice of speech-language pathology and audiology is a privilege granted to qualified persons and that, in order to safeguard the public health, safety, and welfare; protect the public from being misled by incompetent, unscrupulous, and unauthorized persons; and protect the public from unprofessional conduct by qualified speech-language pathologists and audiologists, it is necessary to provide regulatory authority over persons offering speech-language pathology and audiology services to the public.
  2. The following words and terms when used in this chapter have the following meaning unless otherwise indicated within the context:
    1. “Audiologist” means an individual licensed by the board to practice audiology.
    2. “Audiology” means the application of principles, methods, and procedures related to hearing and the disorders of the hearing and balance systems, to related language and speech disorders, and to aberrant behavior related to hearing loss. A hearing disorder in an individual is defined as altered sensitivity, acuity, function, processing, or damage to the integrity of the physiological auditory/vestibular systems.
    3. “Board” means the state board of examiners of speech-language pathology and audiology.
    4. “Clinical fellow” means the person who is practicing speech-language pathology under the supervision of a licensed speech-language pathologist while completing the postgraduate professional experience as required by this chapter.
    5. “Department” means the Rhode Island department of health.
    6. “Director” means the director of the Rhode Island department of health.
    7. “Person” means an individual, partnership, organization, or corporation, except that only individuals can be licensed under this chapter.
      1. “Practice of audiology” means rendering or offering to render any service in audiology, including prevention, screening, and identification, evaluation, habilitation, rehabilitation; participating in environmental and occupational hearing-conservation programs, and habilitation and rehabilitation programs including hearing aid and assistive-listening-device evaluation, prescription, preparation, dispensing, and/or selling and orientation; auditory training and speech reading; conducting and interpreting tests of vestibular function and nystagmus; conducting and interpreting electrophysiological measures of the auditory pathway; cerumen management; evaluating sound environment and equipment; calibrating instruments used in testing and supplementing auditory function; and planning, directing, conducting, or supervising programs that render or offer to render any service in audiology.
      2. The practice of audiology may include speech and/or language screening to a pass or fail determination, for the purpose of initial identification of individuals with other disorders of communication.
      3. A practice is deemed to be the “practice of audiology” if services are offered under any title incorporating such word as “audiology,” “audiologist,” “audiometry,” “audiometrist,” “audiological,” “audiometrics,” “hearing therapy,” “hearing therapist,” “hearing clinic,” “hearing clinician,” “hearing conservation,” “hearing conservationist,” “hearing center,” “hearing aid audiologist,” or any similar title or description of services.
      1. “Practice of speech-language pathology” means rendering or offering to render any service in speech-language pathology including prevention, identification, evaluation, consultation, habilitation, rehabilitation; determining the need for augmentative communication systems, dispensing and selling these systems, and providing training in the use of these systems; and planning, directing, conducting, or supervising programs that render or offer to render any service in speech-language pathology.
      2. The practice of speech-language pathology may include nondiagnostic pure-tone air conduction screening, screening tympanometry, and acoustic reflex screening, limited to a pass or fail determination, for the purpose of performing a speech and language evaluation or for the initial identification of individuals with other disorders of communication.
      3. The practice of speech-language pathology also may include aural rehabilitation, which is defined as services and procedures for facilitating adequate receptive and expressive communication in individuals with hearing impairment.
      4. A practice is deemed to be the “practice of speech-language pathology” if services are offered under any title incorporating such words as “speech pathology,” “speech pathologist,” “speech therapy,” “speech therapist,” “speech correction,” “speech correctionist,” “speech clinic,” “speech clinician,” “language pathology,” “language pathologist,” “voice therapy,” “voice therapist,” “voice pathology,” “voice pathologist,” “logopedics,” “logopedist,” “communicology,” “communicologist,” “aphasiology,” “aphasiologist,” “phoniatrist,” or any similar title or description of services.
      5. Social aspects of communication (including challenging behavior, ineffective social skills, lack of communication opportunities).
    8. “Regionally accredited” means the official guarantee that a college or university or other educational institution is in conformity with the standards of education prescribed by a regional accrediting commission recognized by the United States Secretary of Education.
    9. “Speech-language pathologist” means an individual who is licensed by the board to practice speech-language pathology.
    10. “Speech-language pathology” means the application of principles, methods, and procedures for prevention, identification, evaluation, consultation, habilitation, rehabilitation, instruction, and research related to the development and disorders of human communication. Disorders are defined to include any and all conditions, whether of organic or non-organic origin, that impede the normal process of human communication in individuals or groups of individuals who have or are suspected of having these conditions, including, but not limited to, disorders and related disorders of:

      (i) Speech: articulation, fluency, voice (including respiration, phonation and resonance);

      (ii) Language (involving the parameters of phonology, morphology, syntax, semantics, and pragmatics; and including disorders of receptive and expressive communication in oral, written, graphic, and manual modalities);

      (iii) Oral, pharyngeal, laryngeal, cervical esophageal, and related functions (e.g., dysphasia, including disorders of swallowing and oral function for feeding; oro-facial myofunctional disorders);

      (iv) Cognitive aspects of communication (including communication disability and other functional disabilities associated with cognitive impairment); and

History of Section. P.L. 1973, ch. 143, § 1; P.L. 1991, ch. 329, § 1; P.L. 1998, ch. 366, § 1; P.L. 1999, ch. 354, § 14; P.L. 2007, ch. 33, § 1; P.L. 2007, ch. 39, § 1; P.L. 2007, ch. 73, art. 39, § 17; P.L. 2012, ch. 241, art. 9, § 19; P.L. 2015, ch. 141, art. 20, § 9.

Comparative Legislation.

Speech-language pathology and audiology:

Conn. Gen. Stat. § 20-408 et seq.

Mass. Ann. Laws ch. 13, § 85 et seq.; ch. 112, § 138 et seq.

5-48-2. Board of examiners — Composition — Appointments, terms, and qualifications of members.

  1. There exists within the department of health a board of examiners of speech-language pathology and audiology. The board shall consist of five (5) persons who are residents of the state and who have worked within the state for at least one year prior to their appointments.
    1. Two (2) members shall be speech-language pathologists who have practiced speech-language pathology for at least five (5) years preceding appointment, are currently practicing speech-language pathology, and hold active and valid licensure for the practice of speech-language pathology in this state.
    2. One member shall be an audiologist who has practiced audiology for at least five (5) years immediately preceding appointment, is currently practicing audiology, and holds active and valid licensure for the practice of audiology in this state.
    3. One member shall be an otolaryngologist who holds certification by the American Academy of Otolaryngology — head and neck surgery, who is currently practicing otolaryngology, and holds active and valid licensure as a physician within this state.
    4. One member shall be a representative of the consumer public who is not associated with or financially interested in the practice or business of speech-language pathology or audiology.
  2. All appointments to the board shall be for the term of three (3) years. Members shall serve until the expiration of the term for which they have been appointed or until their appointed successors are qualified.
  3. When a vacancy upon the board occurs, the director of the department of health shall, with the approval of the governor, appoint persons who are working within the state to fill the remainder of the vacant term.
  4. The board shall reorganize annually during the month of January and shall select a chairperson.
  5. A majority of currently filled positions shall constitute a quorum to do business.
  6. No person shall be appointed to serve more than two (2) consecutive terms.
  7. The first board and all future members shall be appointed by the director of the department of health, with the approval of the governor.
  8. The director of the department of health, with the approval of the governor, may remove any member of the board for dishonorable conduct, incompetency, or neglect of duty.

History of Section. P.L. 1973, ch. 143, § 1; P.L. 1991, ch. 329, § 1; P.L. 1998, ch. 366, § 1; P.L. 1999, ch. 354, § 14; P.L. 2007, ch. 33, § 1; P.L. 2007, ch. 39, § 1.

Cross References.

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

5-48-3. Board of examiners — Duties and powers — Meetings — Compensation of members.

  1. The board shall administer, coordinate, and enforce the provisions of this chapter; evaluate the qualifications of applicants; and may issue subpoenas, examine witnesses, and administer oaths, conduct hearings, and at its discretion investigate allegations of violations of this chapter and impose penalties if any violations of the chapter have occurred.
  2. The board shall conduct hearings and keep records and minutes as necessary to an orderly dispatch of business.
  3. The board shall, with the approval of the director of the department of health, adopt, amend, or repeal rules and regulations, including, but not limited to, regulations that delineate qualifications for licensure and establish standards of professional conduct. Following their adoption, the rules and regulations shall govern and control the professional conduct of every person who holds a license to practice speech-language pathology or audiology in this state.
  4. The board shall make available complete lists of the names and addresses of all licensed speech-language pathologists and audiologists.
  5. The board may request legal advice and assistance from the appropriate state legal officer.
  6. Regular meetings of the board shall be held at the times and places that it prescribes, and special meetings may be held upon the call of the chairperson; provided, that at least one regular meeting shall be held each year.
  7. The conferral or enumeration of specific powers in this chapter shall not be construed as a limitation of the general powers conferred by this section. No member of the board shall be liable to civil action for any act performed in good faith in the performance of his or her duties as prescribed by this chapter.
  8. Board members shall serve without compensation.
  9. The board may suspend the authority of any registered speech-language pathologist or audiologist to practice speech-language pathology or audiology for failure to comply with any of the requirements of this chapter.

History of Section. P.L. 1973, ch. 143, § 1; P.L. 1991, ch. 329, § 1; P.L. 1998, ch. 366, § 1; P.L. 2007, ch. 33, § 1; P.L. 2007, ch. 39, § 1.

5-48-4. Board examiners — Seal — Authentication of records.

The board shall adopt the state seal by which it authenticates its proceedings. Copies of the proceedings, records, and acts of the board, and certificates purporting to relate the facts concerning those proceedings, records, and acts, signed by the secretary and authenticated by that seal, shall be evidence in all courts of this state.

History of Section. P.L. 1973, ch. 143, § 1.

5-48-5. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1973, ch. 143, § 1; P.L. 1989, ch. 126, art. 26, § 8; P.L. 1995, ch. 370, art. 40, § 25.

5-48-6. Licensure and regulation of speech-language pathologists and audiologists.

  1. Licensure shall be granted in either speech-language pathology or audiology independently. A person may be licensed in both areas if he or she meets the respective qualifications.
  2. No person shall practice as, advertise as, or use the title of speech pathologist or audiologist as defined in § 5-48-1 in this state unless he or she is licensed in accordance with the provisions of the laws of the state.
  3. Registered speech-language pathologists or audiologists may render services under the terms and provisions of the workers’ compensation and rehabilitation laws.
  4. A provisional license for the clinical fellow (defined in § 5-48-1(b)(4) ) shall be required in speech-language pathology for that period of postgraduate professional experience as required in § 5-48-7.1 . A provisional license shall authorize an individual to practice speech-language pathology solely in connection with the completion of the supervised postgraduate professional experience.

History of Section. P.L. 1973, ch. 143, § 1; P.L. 1991, ch. 329, § 1; P.L. 1998, ch. 366, § 1; P.L. 2007, ch. 33, § 1; P.L. 2007, ch. 39, § 1; P.L. 2019, ch. 308, art. 1, § 23.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-48-7. Qualifications of applicants for a license as a speech-language pathologist.

To be eligible for licensure by the board as a speech-language pathologist the applicant must:

  1. Be of good moral character;
  2. Apply to the department, upon a form prescribed by the department;
  3. Submit the appropriate application fee;
  4. Submit an official transcript indicating possession of a master’s degree or a doctorate degree or equivalent in speech-language pathology from an educational institution accredited by the Council on Academic Accreditation (CAA) of the American Speech-Language-Hearing Association (ASHA) or other national accrediting association as may be approved by the board. The degree shall consist of course work in accordance with the current, minimum requirements for the certificate of clinical competence issued by the American Speech-Language-Hearing Association (ASHA) or other national accrediting association as may be approved by the board and delineated in the rules and regulations;
  5. Complete supervised clinical-practicum experiences from an educational institution or its cooperating programs. The content of the practicum shall be in accordance with the current, minimum requirements for the certificate of clinical competence issued by the American Speech-Language-Hearing Association (ASHA) or other national accrediting association as may be approved by the board and delineated in the rules and regulations;
  6. Pass a national examination in speech-language pathology as required by the American Speech-Language-Hearing Association (ASHA) or other national accrediting association as may be approved by the board and delineated in the rules and regulations;
  7. Present verification of a certificate of clinical competence from the American Speech-Language-Hearing Association (ASHA) or other national accrediting association as may be approved by the board; and
  8. If applicable, present evidence from the board of speech-language pathology in each state in which the applicant has held or holds licensure to be submitted to the board of this state, attesting to the licensure status of the applicant during the time period the applicant held licensure in the state.

History of Section. P.L. 1973, ch. 143, § 1; P.L. 1991, ch. 329, § 1; P.L. 1998, ch. 366, § 1; P.L. 2007, ch. 33, § 1; P.L. 2007, ch. 39, § 1.

5-48-7.1. Qualifications for a provisional license for a speech-language pathologist.

  1. To be eligible for provisional licensure by the board, the speech-language pathologist applicant must submit an application with the required application fee and be in compliance with the requirements of § 5-48-7(1) , (4), (5), and (6).
  2. In addition to the requirements of subsection (a) of this section, content of the supervised postgraduate professional experience shall meet the standards of a trainee or fellow of speech pathology as required by the American Speech-Language-Hearing Association (ASHA) or other national accrediting association as may be approved by the board.
  3. If the postgraduate professional experience extends beyond one year, provisional licensure must be renewed annually and not exceed thirty-six (36) months past the initiation of the professional experience.
  4. The provisional licensure shall expire ninety (90) days after the end of the postgraduate professional experience.

History of Section. P.L. 1998, ch. 366, § 2; P.L. 2007, ch. 33, § 1; P.L. 2007, ch. 39, § 1.

5-48-7.2. Qualifications for license as an audiologist.

Persons seeking initial licensure as an audiologist on or after January 1, 2008, shall meet the following requirements:

  1. Be of good moral character;
  2. Apply to the board, upon a form prescribed by the board;
  3. Submit the appropriate application fee;
  4. Submit an official transcript indicating possession of an earned doctorate degree in audiology from a regionally accredited educational institution as delineated in the rules and regulations;
  5. Pass a national examination in audiology approved by the board and delineated in the rules and regulations;
  6. Present evidence of practicum experience that is equivalent to a minimum of twelve (12) months of full-time, supervised experience, that may be completed as part of the graduate degree, as delineated in the rules and regulations;
  7. If applicable, present evidence from the board of audiology in each state in which the applicant has held or holds licensure to be submitted to the board of this state, attesting to the licensure status of the applicant during the time period the applicant held licensure in the state;
  8. Any other requirements as set forth in the rules and regulations.

History of Section. P.L. 2007, ch. 33, § 3; P.L. 2007, ch. 39, § 3.

5-48-7.3. Qualifications for audiologists licensed in alternate jurisdictions.

Persons licensed as an audiologist in alternate jurisdictions on or before January 1, 2008, shall meet the requirements of this state that were in effect at the time of initial licensure in the alternate jurisdiction.

History of Section. P.L. 2007, ch. 33, § 4; P.L. 2007, ch. 39, § 4.

5-48-8. [Repealed.]

History of Section. P.L. 1973, ch. 143, § 1; P.L. 1991, ch. 329, § 1; P.L. 1998, ch. 366, § 1; Repealed by P.L. 2007, ch. 33, § 2, effective June 14, 2007; P.L. 2007, ch. 39, § 2, effective June 14, 2007.

Compiler’s Notes.

Former § 5-48-8 concerned clinical competency in lieu of examination and licensure in other states.

5-48-9. Fees — Late filing — Inactive status.

  1. The board may charge an application fee; a biennial license renewal fee payable before July 1 of even years (biennially); or a provisional license renewal fee as set forth in § 23-1-54 payable annually from the date of issue.
  2. Any person who allows his or her license to lapse by failing to renew it on or before the thirtieth (30th) day of June of even years (biennially), may be reinstated by the board on payment of the current renewal fee plus an additional late filing fee as set forth in § 23-1-54 .
  3. An individual licensed as a speech-language pathologist or audiologist in this state, not in the active practice of speech-language pathology or audiology within this state during any year, may upon request to the board, have his or her name transferred to an inactive status and shall not be required to register biennially or pay any fee as long as he or she remains inactive. Inactive status may be maintained for no longer than two (2) consecutive licensing periods, after which period licensure shall be terminated and reapplication to the board shall be required to resume practice.
  4. Any individual whose name has been transferred to an inactive status may be restored to active status within two (2) licensing periods without a penalty fee upon the filing of:
    1. An application for licensure renewal, with a licensure renewal fee as set forth in § 23-1-54 made payable by check to the general treasurer of the state of Rhode Island; and
    2. Any other information that the board may request.
  5. [Deleted by P.L. 2015, ch. 141, art. 20, § 9].

History of Section. P.L. 1973, ch. 143, § 1; P.L. 1978, ch. 66, § 1; P.L. 1991, ch. 329, § 1; P.L. 1993, ch. 138, art. 71, § 8; P.L. 1998, ch. 366, § 1; P.L. 1999, ch. 354, § 14; P.L. 2001, ch. 77, art. 14, § 19; P.L. 2007, ch. 33, § 1; P.L. 2007, ch. 39, § 1; P.L. 2007, ch. 73, art. 39, § 17; P.L. 2012, ch. 241, art. 9, § 19; P.L. 2015, ch. 141, art. 20, § 9.

5-48-9.1. Continuing education.

    1. On or before the thirtieth (30th) day of June of even years, every person licensed to practice speech-language pathology or audiology within this state shall complete not less than twenty (20) clock hours of continuing education within the preceding two (2) years and be able to present satisfactory evidence of completion to the board.
    2. Those persons holding licensure in both speech-language pathology and audiology must have completed and have evidence of completion of not less than thirty (30) clock hours of continuing education within the preceding two (2) years.
  1. Continuing education hours may not be carried over from one renewal period to the next.
  2. The board at its discretion may extend, reduce, or waive the requirement for continuing education for hardship or other extenuating circumstances as the board deems appropriate.

History of Section. P.L. 1998, ch. 366, § 2.

5-48-10. Persons and practices exempted.

The provisions of this chapter do not apply to:

  1. A qualified person licensed, registered, certified, or credentialed in this state under any other law who is practicing the profession or business for which he or she is licensed, registered, certified, or credentialed, in the setting for which the licensure, registration, certification, or credential pertains and performs services within their authorized scope of practice.
  2. This chapter specifically excludes those persons who commercially fit and sell hearing aids; provided, that those persons do not receive a separate or additional fee for testing or interpreting tests of hearing; and provided, that those persons do not represent themselves as audiologists as defined in this chapter. This subsection does not preclude remuneration for any other service offered solely in conjunction with the fitting or maintaining of a hearing aid.
  3. No one shall be exempt under subsection (1) for that portion of his or her time spent as a private practitioner. If he or she performs any work as a speech-language pathologist or audiologist for which a fee may be paid by the recipient of the service as part of a private practice apart from his or her position with the government, a license must be held.

History of Section. P.L. 1973, ch. 143, § 1; P.L. 1991, ch. 329, § 1.

5-48-11. Grounds for suspension or revocation of licenses.

The license of any speech-language pathologist or audiologist may be suspended or revoked by the board upon proof that he or she:

  1. Fraudulently or deceptively obtained or attempted to obtain a license for the applicant, licensee, holder, or for another;
  2. Fraudulently or deceptively used a license;
  3. Altered a license;
  4. Aided or abetted unlicensed practice;
  5. Committed fraud and deceit in the practice of speech-language pathology or of audiology, including, but not limited to:
    1. Using or promoting, or causing the use of, any misleading, deceiving, or untruthful advertising matter, promotional literature, testimonial, guarantee, warranty, label, brand, insignia, or any other representation;
    2. Falsely representing the use or availability of services or advice of a physician;
    3. Misrepresenting the applicant, licensee, or holder by using the word “doctor” or any similar word, abbreviation, or symbol, if the use is not accurate or if the degree was not obtained from an accredited institution;
    4. Making or filing a false report or record in the practice of speech-language pathology or audiology;
    5. Submitting a false statement to collect a fee; and
    6. Obtaining a fee through fraud or misrepresentation;
  6. Providing services while mentally incompetent;
  7. Engaging in illegal, incompetent, or habitually negligent practice;
  8. Providing professional services while:
    1. Under the influence of alcohol; or
    2. Using any narcotic or controlled dangerous substance or other drug that is in excess of therapeutic amounts or without valid medical indication;
  9. Promoting the sale of devices, appliances, or products to a patient who cannot benefit from these devices, appliances, or products;
  10. Violating any provision of this chapter, any lawful order given, or rule or regulation adopted by the board or departure from or failure to conform to the current standards of acceptable prevailing practice and code of ethics of speech-language pathology or audiology;
  11. Being convicted of, or pleading guilty or nolo contendere to, a felony, whether or not any appeal or another proceeding is pending to have the conviction or plea set aside;
  12. Incompetent or negligent misconduct in the practice of speech-language pathology or audiology;
  13. Is habitually intemperate or is addicted to the use of habit-forming drugs;
  14. Being disciplined by a licensing or disciplinary authority of any other state or country, or convicted or disciplined by a court of any state or country, for an act that would be grounds for disciplinary action under this section; or
  15. Failing to maintain continuing education requirements.

History of Section. P.L. 1973, ch. 143, § 1; P.L. 1991, ch. 329, § 1; P.L. 1998, ch. 366, § 1; P.L. 2007, ch. 33, § 1; P.L. 2007, ch. 39, § 1; P.L. 2021, ch. 400, § 12, effective July 13, 2021; P.L. 2021, ch. 401, § 12, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 12, and P.L. 2021, ch. 401, § 12 enacted identical amendments to this section.

5-48-12. Penalty for violations.

  1. The board is granted the authority to impose the following disciplinary actions in those instances in which an applicant for a license or a licensee has been guilty of conduct that has endangered, or is likely to endanger, the health, welfare, or safety of the public:
    1. Refuse to issue or renew a license.
    2. Issue a letter of reprimand or concern.
    3. Require restitution of fees.
    4. Impose probationary conditions.
    5. Suspend or revoke a license.
  2. Any person found to be in violation of any provision of this chapter, upon conviction, shall be guilty of a misdemeanor and punished by a fine of not more than one thousand dollars ($1,000).

History of Section. P.L. 1973, ch. 143, § 1; P.L. 1991, ch. 329, § 1.

5-48-13. Revocation and suspension procedure — Reinstatement.

    1. Notice, in writing, of a contemplated revocation or suspension of a license, of this particular cause, and of the date of a hearing, shall be sent by registered or certified mail to the licensee at his or her last known address at least fifteen (15) days before the date of the hearing.
    2. The individual against whom a charge is filed has the right to appear before the board in person or by counsel, or both; may produce witnesses and evidence on his or her behalf; and may question witnesses.
    3. No license shall be revoked or suspended without a hearing, but the nonappearance of the licensee, after notice, shall not prevent a hearing.
    4. All matters upon which the decision is based shall be introduced in evidence at the proceeding.
    5. The licensee shall be notified, in writing, of the board’s decision.
    6. The board may make any rules and regulations that it deems proper for the filing of charges and the conduct of hearings.
  1. After issuing an order of revocation or suspension, the board may also file a petition in equity in the superior court in a county in which the respondent resides or transacts business, to ensure appropriate injunctive relief to expedite and secure the enforcement of its order, pending the final determination.
  2. An application for reinstatement may be made to the board, which may, upon the affirmative vote of at least the majority of its members, grant a reinstatement.

History of Section. P.L. 1973, ch. 143, § 1; P.L. 1991, ch. 329, § 1.

5-48-14. [Obsolete.]

5-48-15. Severability.

If any provision of this chapter or of any rule or regulation made under this chapter, or their application to any person or circumstances, is held invalid by a court of competent jurisdiction, the remainder of the chapter, rule, or regulation, and the application of that provision to other persons or circumstances, shall not be affected.

History of Section. P.L. 1973, ch. 143, § 1.

Chapter 48.1 Patient Protection Act

5-48.1-1. Legislative findings.

It is found and declared as follows:

  1. Individuals and corporations sometimes establish joint ventures and other business arrangements to offer various diagnostic and therapeutic healthcare services and items to patients. While some of these arrangements assist in providing appropriate but unavailable services and items to patients, or help finance nearby facilities as a convenience to patients, others appear to constitute opportunities for investment. These arrangements can give rise to abuse by creating an environment in which healthcare providers could order unnecessary services from those facilities in which they own an interest. To limit this conduct, Congress of the United States amended the Social Security Act (42 U.S.C. § 1320a-7b) to prohibit certain financial arrangements. This prohibition is contained in § 1128B(b) of the Social Security Act, 42 U.S.C. § 1320a-7b.
  2. The provisions of the amendments to the Social Security Act, (42 U.S.C. § 1320a-7b), apply only to Medicare/Medicaid reimbursed services and a void exists with respect to services rendered at the state level, which are reimbursed by private payers.
  3. Accordingly, in order to protect the health, safety, and welfare of all residents of this state, it is deemed appropriate to adopt the standards prescribed in the federal statute as applicable to the delivery of all healthcare services and items in this state.

History of Section. P.L. 1993, ch. 107, § 1.

5-48.1-2. Definitions.

As used in this chapter:

  1. “Director” means the director of the Rhode Island department of health.
  2. “Facility” means any healthcare facility licensed by the department of health or the department of behavioral healthcare, developmental disabilities and hospitals under the provisions of title 23 and title 40.1.
  3. “Healthcare provider” means any person licensed, registered, or certified by this state to provide, or lawfully providing healthcare services. These include, but are not limited to, a physician, hospital, nursing facility, intermediate-care facility or other healthcare facility, dentist, nurse, optometrist, podiatrist, physical therapist, psychiatric social worker, or psychologist.
  4. “Healthcare services” means acts of diagnosis, treatment, medical evaluation, or counseling, or any other acts that may be permissible under the healthcare licensing statutes of this state.
  5. “Person” means any individual, trust or estate, partnership, corporation (including associations, joint stock companies, and insurance companies), state, or political subdivision or instrumentality of a state.

History of Section. P.L. 1993, ch. 107, § 1.

5-48.1-3. Prohibited acts.

  1. Whoever knowingly and willfully solicits or receives any remuneration (including any kickback, bribe, or rebate) directly or indirectly, overtly or covertly, in cash or in kind: (1) In return for referring an individual to a person for the furnishing, or arranging for the furnishing, of any healthcare service or item; or (2) In return for purchasing, leasing, ordering, or arranging for or recommending purchasing, leasing, or ordering, any healthcare good, facility, service, or item is guilty of a misdemeanor, and upon conviction, shall be fined not more than one thousand dollars ($1,000), or imprisoned for not more than one year, or both.
  2. Whoever knowingly and willfully offers or pays any remuneration (including any kickback, bribe, or rebate) directly or indirectly, overtly or covertly, in cash or in kind, to any person to induce that person: (1) To refer an individual to a person for the furnishing, or arranging for the furnishing, of any healthcare item or service; or (2) To purchase, lease, order, or arrange for or recommend purchasing, leasing, or ordering any healthcare good, facility, service, or item is guilty of a misdemeanor, and upon conviction, shall be fined not more than one thousand dollars ($1,000), or imprisoned for not more than one year, or both.
  3. Subsections (a) and (b) do not apply to:
    1. A discount or other reduction in price obtained by a provider of services or other entity if the reduction in price is properly disclosed and appropriately reflected in the costs claimed or charges made by the provider;
    2. Any amount paid by an employer to an employee (who has a bona fide employment relationship with the employer) for employment in the provision of healthcare services;
    3. Any amount paid by a vendor of goods or services to a person authorized to act as a purchasing agent for a group of individuals or entities who are furnishing healthcare services, if:
      1. The person has a written contract, with each individual or entity, that specifies the amount to be paid the person, which amount may be a fixed amount or a fixed percentage of the value of the purchases made by each individual or entity under the contract; and
      2. In the case of an entity that is a provider of services, the person shall disclose (in the form and manner that the director requires) to the entity and, upon request, to the director, the amount received from each vendor with respect to purchases made by or on behalf of the entity;
    4. A waiver of any coinsurance under part B of title XVIII, 42 U.S.C. § 1395j et seq., by a federally qualified healthcare center with respect to an individual who qualifies for subsidized services under a provision of the Public Health Service Act;
    5. Any payment practice specified in regulations promulgated pursuant to § 14(a) of the Medicare and Medicaid Patient and Program Protection Act of 1987 (see 42 U.S.C. § 1320a-7b), or to chapter 66.2 of title 42 relating to pharmaceutical assistance to the elderly;
    6. A discount or other reduction in price on a healthcare item or a limited-time free supply of such item that is made available to an individual, if such item is provided through a “point-of-sale” or “mail-in” coupon or through other similar means.

History of Section. P.L. 1993, ch. 107, § 1; P.L. 2003, ch. 390, § 1.

Federal Act References.

Section 14(a) of the Medicare and Medicaid Patient and Program Protection Act of 1987, referred to in this section, is codified as a note under 42 U.S.C. § 1320a-7b.

5-48.1-4. Adoption of regulations.

  1. All regulations adopted by the Secretary of Health and Human Services specifying payment practices that are not treated as a criminal offense under § 1128B(b) of the Social Security Act, 42 U.S.C. § 1320a-7b(b), and do not serve as the basis for exclusion under § 1128(b)(7) of that Act, 42 U.S.C. § 1320a-7(b)(7), which regulations are in effect as of July, 1991, or which are adopted on or after that date, are deemed to be regulations in this state governing practices that are exempt from the provisions of § 5-48.1-3 .
  2. The director may, by regulation, provide for modification or deviation from the regulations specified in (a) of this section, whether or not this modification or deviation is in accord with the regulations adopted by the Secretary of Health and Human Services.
  3. The director is authorized to adopt any other regulations he or she deems necessary in order to implement the provisions of this chapter.

History of Section. P.L. 1993, ch. 107, § 1.

5-48.1-5. Sanctions.

In addition to any penalty provided by this chapter for violation of the provisions of § 5-48.1-3 , noncompliance or violation of the provisions of this chapter or the regulations adopted under it shall constitute grounds to revoke or suspend the license of, or discipline, a licensed healthcare provider, or to deny an application for licensure. The appropriate licensing agency or body has authority to take this action against a licensee or applicant in accordance with established procedures.

History of Section. P.L. 1993, ch. 107, § 1.

Chapter 49 Hearing Aid Dealers and Fitters

5-49-1. Definitions.

As used in this chapter, except as the context may require:

  1. “Audiologist” means a person who has been awarded a certificate of competency by the American Speech and Hearing Association and who is duly licensed by the department.
  2. “Board” means the board of hearing aid dealers and fitters.
  3. “Department” means the department of health.
  4. “Hearing aid” means any wearable instrument or device designed for or offered for the purpose of aiding or compensating for impaired human hearing, and any parts, attachments, or accessories, including ear mold, but excluding batteries and cords.
  5. “License” means a license issued by the state under this chapter to hearing aid dealers and fitters.
  6. “Practice of fitting and dealing in hearing aids” means the evaluation and measurement of human hearing by means of an audiometer or by any other means solely for the purpose of making selections, adaptations, or sale of hearing aids. The term also includes the making of impressions for ear molds. This term does not include the making of audiograms for a physician or a member of related professions for use in consultation with the hard of hearing.
  7. “Sell” or “sale” means any transfer of title or of the right to use by lease, bailment, or any other contract, excluding wholesale transactions with distributors or dealers.
  8. “Temporary permit” means a permit issued while the applicant is in training to become a licensed hearing aid dealer and fitter.

History of Section. P.L. 1973, ch. 243, § 1; P.L. 1996, ch. 174, § 1.

Comparative Legislation.

Hearing aid dealers:

Conn. Gen. Stat. § 20-396 et seq.

Mass. Ann. Laws ch. 93, § 71 et seq.

Collateral References.

Validity and construction of state statutes regulating hearing aid fitting or sales. 96 A.L.R.3d 1030.

5-49-2. License required to sell or fit hearing aids.

  1. No person shall engage in the dispensing, selling, fitting of hearing aids, or display a sign, or in any other way advertise or represent himself or herself as a person who practices the fitting and sale of hearing aids after August 1, 1973, unless he or she holds an unsuspended, unrevoked license issued by the department as provided in this chapter.
  2. The license shall be conspicuously posted in his or her office or place of business. Duplicate licenses shall be issued by the department to valid license holders operating more than one office without additional payment.
  3. A license under this chapter shall confer upon the holder the right to select, fit, and sell hearing aids.
  4. Nothing in this chapter shall prohibit a corporation, partnership, trust, association, or other organization maintaining an established business address, from selling or offering for sale hearing aids at retail without a license; provided, that it employs only properly licensed natural persons in the direct sale and fitting of those products.
  5. Those corporations, partnerships, trusts, associations, or other organizations shall file annually with the board a list of all licensed hearing aid dealers and fitters directly or indirectly employed by it.
  6. Those organizations shall also file with the board a statement, on a form approved by the board, that they submit themselves to the rules and regulations of the department and the provisions of this chapter which the department deems applicable to them.

History of Section. P.L. 1973, ch. 243, § 1.

5-49-2.1. Certificates of need.

  1. No person, firm, association, or corporation shall sell or attempt to sell, or make available, any hearing aid instrument or hearing prosthetic device to a prospective consumer or purchaser, unless that consumer or purchaser has first obtained and presented to the seller a certificate of need on forms prescribed and furnished by the director of the department of health.
  2. The certificate shall be signed by a physician licensed in the state under the provisions of chapter 37 of this title and attest that, pursuant to an otological examination, it is his or her diagnosis that the prospective patient-purchaser has a hearing impediment of a nature as to indicate the need for a hearing aid instrument or hearing prosthetic device.

History of Section. P.L. 1978, ch. 177, § 1.

5-49-2.2. Records of transactions.

  1. Every person, firm, association, or corporation shall keep a permanent record of all sales or other transactions where a hearing aid instrument or hearing prosthetic device is made available.
  2. Each record of a transaction shall have attached to it the certificate of need presented by the prospective purchaser.
  3. Each record of a transaction shall be retained for a period of five (5) years, and shall be kept open for inspection by any official designated by the director of the department of health.

History of Section. P.L. 1978, ch. 177, § 1.

5-49-2.3. Penalty for violations of §§ 5-49-2.1 and 5-49-2.2.

Any person, firm, association, or corporation who or that sells or attempts to sell, or makes available, a hearing aid instrument or hearing prosthetic device without a certificate of need, and/or fails to keep records as prescribed in § 5-49-2.2 , and any physician who issues a certificate of need not in conformance with § 5-49-2.1 , is guilty of a misdemeanor and, upon conviction, shall be fined not more than five hundred dollars ($500) for each offense. Each violation of a provision of this chapter shall constitute a separate offense.

History of Section. P.L. 1978, ch. 177, § 1.

5-49-3. Receipt required to be furnished to a person supplied with hearing aid.

  1. Any person who practices the fitting and sale of hearing aids shall deliver to each person supplied with a hearing aid a receipt that shall contain the licensee’s signature and show his or her business address and the number of his or her certificate, together with specifications as to the make and model of the hearing aid furnished, and the full terms of sale clearly stated. If a hearing aid that is not new is sold, the receipt and the container shall be clearly marked as “used” or “reconditioned,” whichever is applicable, with terms of guarantee, if any.
  2. The receipt shall bear in no smaller type than the largest used in the body copy portion the following: “The purchaser has been advised at the outset of his or her relationship with the hearing aid dealer that any examination(s) or representation(s) made by a licensed hearing aid dealer and fitter in connection with the fitting and selling of this hearing aid(s) is not an examination, diagnosis, or prescription by a person licensed to practice medicine in this state and therefore must not be regarded as medical opinion or advice.”
  3. The receipt, covering agreements consummated at any place other than at an address of the seller, shall contain the following statement: “You may cancel this agreement if it has been consummated by a party at any place other than at a business address of the seller by a written notice directed to a business address of the seller by registered mail, telegram, or delivery, not later than midnight of the third business day following the signing of the agreement.”
  4. The receipt shall contain language that verifies that the client has been informed about the benefits of audio-switch technology, including increased access to telephones and assistive-listening systems required under the “American with Disabilities Act of 1990,” 42 U.S.C. § 12101 et seq., and section 504 of the Rehabilitation Act of 1973, 29 U.S.C. § 794. The client shall be informed that an audio switch is also referred to as a telecoil, t-coil or t-switch.
  5. The receipt shall contain language that informs the client about the Rhode Island adaptive telephone equipment loan program committee established by chapter 23 of title 39 that provides assistive communications devices to residents of this state who have hearing loss and about the Rhode Island commission on the deaf and hard of hearing established by chapter 1.8 of title 23 that provides resources related to hearing loss.
  6. Any person engaging in the fitting and sale of hearing aids will, when dealing with a child ten (10) years of age or under, ascertain whether the child has been examined by an otolaryngologist, or primary care physician and an audiologist for his or her recommendation within ninety (90) days prior to the fitting. If that is not the case, a recommendation to do so must be made, and this examination must be conducted before the sale of any hearing aid.
  7. Prior to delivery of services or products to the prospective purchaser, a licensee shall provide discussion of amplification or aural rehabilitation options appropriate to the hearing loss and communication needs presented by the patient.
  8. A licensee shall deliver information, either written or oral, appropriate to the patient’s needs and options under discussion, including, but not limited to, types of circuitry, telecoils, or programmability, and if applicable, estimated unit prices for the following service, hearing aid(s), accessories, service contracts, hearing aid (loss and damage) insurance, healthcare coverage, warranty, financing, and related goods and services.
  9. At the time of delivery of selected amplification, the dispenser shall deliver a written delivery receipt containing the following:
    1. Business name, full address, and department of health license number of the dispenser;
    2. Name, full address of patient and purchaser;
    3. The instrument identification including manufacturer, model, serial number;
    4. Identification of used or reconditioned units;
    5. The total price and applicable warranty time periods of instrumentation and accessories such as earmolds, batteries, cords, etc.;
    6. Any additional insurance that has been placed on the instrument;
    7. All services included by the dispenser program as part of the complete amplification package, e.g. follow-up visits or reprogramming visits in the event the instrument is programmable;
    8. A notice conspicuously in type that is at least four (4) points larger than the surrounding text: “A hearing aid will not restore normal hearing. The purchaser has a thirty-day (30) trial period during which time the purchaser may return the instrument, in the original condition less normal wear, with no further financial obligation. This product is protected by chapter 45 of title 6 entitled ‘Enforcement of Assistive Technology Warranties’, which shall be made available by the dispenser, upon request.” The purchaser shall have access to the dispenser during the trial period, in order to receive appropriate follow-up monitoring, i.e. modification, adjustment, reprogramming, or shell refit, in order to optimize comfort and instrument benefit. The trial period may be extended beyond thirty (30) days if agreed to, in writing, by the dispenser and the consumer;
    9. All professional and service fees shall be clearly stated in the contract. Refund shall be made to the customer within ten (10) days of return;
    10. Signature of dispenser and name in print;
    11. Signature of patient;
    12. Date of purchase;
    13. Department of health license number; and
    14. Language that verifies that the client has been informed of subsections (d) and (e) of this section.

History of Section. P.L. 1973, ch. 243, § 1; P.L. 1997, ch. 149, § 1; P.L. 2000, ch. 465, § 1; P.L. 2009, ch. 347, § 1; P.L. 2009, ch. 348, § 1.

5-49-4. Persons and practices exempted.

  1. This chapter is not intended to prevent any person from engaging in the practice of measuring human hearing for the purpose of selecting hearing aids; provided, that the person or organization employing that person does not sell hearing aids or hearing aid accessories except in the case of ear molds made by an audiologist to be used only for the purpose of evaluation.
  2. This chapter does not apply to a person who is a physician licensed to practice in Rhode Island, and an audiologist; provided, that the physician does not engage in the sale of hearing aids.

History of Section. P.L. 1973, ch. 243, § 1.

5-49-5. [Obsolete.]

5-49-6. Issuance of licenses and certificates of endorsement.

  1. The department shall register each applicant without discrimination who passes an examination as provided in § 5-49-7 . Upon the applicant’s payment as set forth in § 23-1-54 per annum for each year of the term of license, the department shall issue to the applicant a license signed by the department. The total fee for the entire term of licensure shall be paid prior to the issuance of the license.
  2. Whenever the board determines that another state or jurisdiction has requirements equivalent to or higher than those in effect pursuant to this chapter, and that this state or jurisdiction has a program equivalent to or stricter than the program for determining whether applicants pursuant to this chapter are qualified to dispense and fit hearing aids, the department may issue certificates of endorsement to applicants who hold current, unsuspended, and unrevoked certificates or licenses to fit and sell hearing aids in that other state or jurisdiction.
  3. No applicant for certificate of endorsement shall be required to submit to or undergo a qualifying examination, etc., other than the payment of fees, as set forth in § 23-1-54 .
  4. The holder of a certificate of endorsement shall be registered in the same manner as a licensee. The fee for an initial certificate of endorsement shall be the same as the fee for an initial license. Fees, grounds for renewal, and procedures for the suspension and revocation of certificates of endorsement shall be the same as for renewal, suspension, and revocation of a license.

History of Section. P.L. 1973, ch. 243, § 1; P.L. 1987, ch. 184, § 5; P.L. 2005, ch. 410, § 5; P.L. 2009, ch. 310, § 36; P.L. 2012, ch. 241, art. 9, § 20.

5-49-7. License by examination.

  1. Applicants who do not meet the experience qualification of former § 5-49-5 on July 1, 1973, may obtain a license by successfully passing a qualifying examination, provided the applicant:
    1. Is at least twenty-one (21) years of age;
    2. Is of good moral character;
    3. Has an education equivalent to a four-year course in an accredited high school; and
    4. Is free of contagious or infectious disease.
  2. Applicants for license by examination shall appear at a time, place, and before any persons the department designates, to be examined by means of written and practical tests in order to demonstrate that he or she is qualified to practice the fitting and sale of hearing aids. The examination administered as directed by the board shall not be conducted in a manner that requires college training in order to pass. Nothing in this examination shall imply that the applicant possesses the degree of medical competence normally expected of physicians.
  3. The department shall give examinations as required.

History of Section. P.L. 1973, ch. 243, § 1; P.L. 1996, ch. 174, § 1.

5-49-8. Temporary permits.

  1. An applicant who fulfills the requirements regarding age, character, education, and health as provided in § 5-49-7 , may obtain a temporary permit upon application to the department. Previous experience or a waiting period shall not be required to obtain a temporary permit.
  2. Upon receiving an application as provided under this section, and accompanied by a fee as set forth in § 23-1-54 , the department shall issue a temporary permit that entitles the applicant to engage in the fitting and sale of hearing aids for a period of one year.
  3. A person holding a valid hearing aid dealer’s and fitter’s license is responsible for the supervision and training of that applicant and maintaining adequate personal contact.
  4. If a person who holds a temporary permit under this section has not successfully passed the licensing examination within one year from the date of issuance of the permit, the temporary permit may be renewed or reissued once upon payment of a fee as set forth in § 23-1-54 .

History of Section. P.L. 1973, ch. 243, § 1; P.L. 2012, ch. 241, art. 9, § 20.

5-49-9. Scope of examination.

The qualifying examination provided in § 5-49-7 , “license by examination,” shall be designed to demonstrate the applicant’s adequate technical qualifications by:

  1. Testing knowledge in the following areas as they pertain to the fitting and sale of hearing aids:
    1. Basic physics of sound;
    2. The anatomy and physiology of the ear; and
    3. The function of hearing aids;
  2. Testing practical proficiency in the following techniques as they pertain to the fitting of hearing aids:
    1. Pure-tone audiometry, including air-conduction testing and bone-conduction testing;
    2. Live voice or recorded voice-speech audiometry, including speech-reception threshold testing and speech-discrimination testing;
    3. Masking when indicated;
    4. Recording and evaluating audiograms and speech audiometry to determine proper selection and adaptation of a hearing aid;
    5. Taking ear mold impressions; and
  3. Testing knowledge of the medical and rehabilitation facilities for children and adults in the area being served.

History of Section. P.L. 1973, ch. 243, § 1.

5-49-10. Notice to department of place of business — Notice to holders of license.

  1. A person who holds a license shall notify the department, in writing, of the regular address of the place or places where he or she engages or intends to engage in the fitting or the sale of hearing aids.
  2. The department shall keep a record of the place of business of licensees.
  3. Any notice required to be given by the department to a person who holds a license shall be mailed to him or her, by certified mail, at the address of the last place of business that he or she has provided the department.

History of Section. P.L. 1973, ch. 243, § 1.

5-49-11. Duration of license — Renewal of license — Fees — Effect of failure to renew.

  1. The department shall promulgate rules and regulations mandating the term of license for each category of license issued pursuant to this chapter. No license shall remain in force for a period in excess of two (2) years.
    1. Each person who engages in the fitting and sale of hearing aids shall pay to the department a fee, as set forth in § 23-1-54 , per annum for each year of the term of license, for a renewal of his or her license.
    2. The renewal certificate shall be conspicuously posted in his or her office or place of business at all times.
    3. Where more than one office is operated by the licensee, duplicate certificates shall be issued by the department for posting in each location.
  2. A thirty-day (30) grace period shall be allowed during which time licenses may be renewed on payment of a fee to the department, as set forth in § 23-1-54 , per annum for each year of the term of renewal.
  3. After expiration of the grace period, the department may renew those certificates upon payment to the department of a fee, as set forth in § 23-1-54 , per annum for each year of the term of renewal.
  4. The total fee for the entire term of license or renewal shall be paid prior to the issuance of the license.
  5. No person who applies for renewal, whose license has expired, shall be required to submit to any examination as a condition to renewal; provided, that the renewal application is made within two (2) years from the date of that expiration.

History of Section. P.L. 1973, ch. 243, § 1; P.L. 1987, ch. 184, § 6; P.L. 1996, ch. 174, § 1; P.L. 2001, ch. 77, art. 14, § 20; P.L. 2012, ch. 241, art. 9, § 20.

5-49-12. Complaints — Grounds and proceedings for revocation or suspension of licenses.

    1. Any person wishing to make a complaint against a licensee under this chapter shall file this complaint, in writing, with the department, within one year from the date of the action upon which the complaint is based.
    2. If the department determines the charges made in the complaint are sufficient to warrant a hearing to determine whether the license issued under this chapter should be suspended or revoked, it shall make an order fixing a time and place for a hearing and shall require the licensee complained against to appear and defend against the complaint. The order shall have annexed to it a copy of the complaint.
    3. The order and copy of the complaint shall be served upon the licensee, either personally or by registered mail sent to the licensee’s last known address, at least twenty (20) days before the date set for the hearing.
    4. Continuances or an adjournment of the hearing shall be made if for good cause.
    5. At the hearing, the licensee complained against may be represented by counsel.
    6. The licensee complained against and the department shall have the right to take depositions in advance of the hearing and after service of the complaint, and either may compel the attendance of witnesses by subpoenas issued by the department under its seal.
    7. Either party taking depositions shall give at least five (5) days’ written notice to the other party of the time and place of those depositions, and the other party has the right to attend (with counsel if desired) and cross-examine.
    8. Appeals from suspension or revocation may be made through the appropriate administrative procedures act.
  1. Any person registered under this chapter may have his or her license revoked or suspended for a fixed period by the department for any of the following causes:
    1. The conviction of a felony. The record of conviction, or a certified copy, certified by the clerk of the court or by the judge in whose court the conviction was had, shall be conclusive evidence of this conviction;
    2. Procuring a license by fraud or deceit practiced upon the department;
    3. Unethical conduct, including:
      1. Obtaining any fee or making any sale by fraud or misrepresentation;
      2. Knowingly employing, directly or indirectly, any suspended or unregistered person to perform any work covered by this chapter;
      3. Using, or causing, or promoting the use of, any advertising matter, promotional literature, testimonial, guarantee, warranty, label, brand, insignia, or any other representation, however disseminated or published, that is misleading, deceptive, or untruthful;
      4. Advertising a particular model or type of hearing aid for sale when purchasers or prospective purchasers responding to the advertisement cannot purchase the advertised model or type, where it is established that the purpose of the advertisement is to obtain prospects for the sale of a different model or type than that advertised;
      5. Representing that the service or advice of a person licensed to practice medicine will be used or made available in the selection, fitting, adjustment, maintenance, or repair of hearing aids when that is not true;
      6. Habitual intemperance;
      7. Gross immorality;
      8. Permitting another’s use of a license;
      9. Advertising a manufacturer’s product or using a manufacturer’s name or trademark that implies a relationship with the manufacturer that does not exist;
      10. Directly or indirectly giving or offering to give, or permitting or causing to be given, money or anything of value to any person who advises another in a professional capacity, as an inducement to influence him or her, or have him or her influence others, to purchase or contract to purchase products sold or offered for sale by a hearing aid dealer or fitter, or influencing persons to refrain from dealing in the products of competitors;
      11. Representing, when this is not the case, that the hearing aid is or will be “custom-made,” “made to order,” or “prescription-made,” or in any other sense specially fabricated for an individual person;
    4. Knowingly placing the health of a client at serious risk without maintaining proper precautions;
    5. Engaging in the fitting and sale of hearing aids under a false name or alias with fraudulent intent;
    6. Selling a hearing aid to a person who has not been given tests utilizing appropriate established procedures and instrumentation in fitting of hearing aids, except in cases of selling replacement hearing aids. Selling a hearing aid to a person who has discharge from the ear, loss of balance and dizzy spells, or a loss of hearing for less than ninety (90) days, unless that person has received a prescription from a physician;
    7. Gross incompetence or negligence in fitting and selling hearing aids;
    8. Violating any provisions of this chapter.

History of Section. P.L. 1973, ch. 243, § 1; P.L. 1997, ch. 149, § 1; P.L. 2004, ch. 467, § 3; P.L. 2021, ch. 400, § 13, effective July 13, 2021; P.L. 2021, ch. 401, § 13, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 13, and P.L. 2021, ch. 401, § 13 enacted identical amendments to this section.

5-49-13. Prohibited acts and practices.

No person shall:

  1. Sell, barter, or offer to sell or barter, a license;
  2. Purchase or procure by barter a license with intent to use it as evidence of the holder’s qualifications to practice the fitting and sale of hearing aids;
  3. Alter a license with fraudulent intent;
  4. Use or attempt to use as a valid license a license that has been purchased, fraudulently obtained, counterfeited, or materially altered;
  5. Willfully make a false statement in an application for license or application for renewal of a license.

History of Section. P.L. 1973, ch. 243, § 1.

5-49-14. Powers and duties of department.

The powers and duties of the department shall be as follows:

  1. To authorize all disbursements necessary to carry out the provisions of this chapter;
  2. To supervise issuance of licenses “by experience” and approve the preparation and administration of qualifying examinations to test the knowledge and proficiency of applicants licensed by examination;
  3. To register persons who apply to the department and who are qualified to engage in the fitting and sale of hearing aids;
  4. To purchase and maintain or rent audiometric equipment and other facilities necessary to carry out the examination of applicants as provided in § 5-49-7 ;
  5. To issue and renew licenses;
  6. To suspend or revoke licenses in the manner provided;
  7. To designate the time and place for examining applicants;
  8. To appoint representatives to conduct or supervise the examination;
  9. To establish medical and technical knowledge and standards applicable to the field;
  10. To appoint or employ subordinate employees;
  11. To determine work experience and educational requirements;
  12. To issue an annual report in conjunction with the board of hearing aid dealers and fitters on its activities;
  13. To publish education and consumer material in conjunction with the board of hearing aid dealers and fitters as may assist the public in the appropriate use and purchase of hearing aids.

History of Section. P.L. 1973, ch. 243, § 1; P.L. 1980, ch. 341, § 8.

5-49-15. Board — Creation — Composition — Appointment and terms.

  1. There is established a board of hearing aid dealers and fitters that guides, advises, and makes recommendations to the department.
    1. Members of the board shall be residents of the state.
    2. The board shall consist of three (3) hearing aid dealers and fitters; one otolaryngologist; one audiologist; and one lay member who shall be a user of hearing aids and not employed in the practice of fitting and dealing in hearing aids.
    3. Each hearing aid dealer and fitter on the board shall have no less than five (5) years’ experience and hold a valid license as a hearing aid dealer and fitter, as provided under this chapter.
    4. Excepted shall be the hearing aid dealers and fitters of the first board appointed, who have no less than five (5) years of experience and fulfill all qualifications under § 5-49-7 as provided under this chapter.
  2. All members of the board shall be appointed by the governor.
  3. The term of office of each member shall be three (3) years; except that of the members of the first board appointed under this chapter, two (2) shall be appointed for two (2) years; two (2) shall be appointed for three (3) years; and two (2) shall be appointed for four (4) years.
  4. Before a member’s term expires, the governor shall appoint a successor to assume his or her duties on the expiration of his or her predecessor’s term.
  5. A vacancy in the office of a member shall be filled by appointment for the unexpired term.
  6. The members of the board shall annually designate one member to serve as chair and another to serve as secretary-treasurer.
  7. No member of the board who has served two (2) or more full terms may be reappointed to the board until at least one year after the expiration of his or her most recent full term of office.
  8. Members of the board shall not be compensated for their services on the board.

History of Section. P.L. 1973, ch. 243, § 1; P.L. 1996, ch. 174, § 1; P.L. 2005, ch. 117, art. 21, § 15.

Cross References.

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

5-49-16. Board — Duties.

  1. The board shall:
    1. Advise the department in all matters relating to this chapter;
    2. Prepare the examinations required by this chapter for the department; and
    3. Assist the department in carrying out the provisions of this chapter.
  2. The department shall be guided by the recommendations of the board in all matters relating to this chapter.

History of Section. P.L. 1973, ch. 243, § 1.

5-49-17. Board — Meetings.

The board shall meet not less than six (6) times each year at a place, day, and hour determined by the board. The board shall also meet at any other times and places as requested by the department.

History of Section. P.L. 1973, ch. 243, § 1; P.L. 1980, ch. 341, § 7.

5-49-18. Disposition of receipts — Hearing aid revenues.

The department shall deposit, as general revenues into the state treasury, all moneys received by the department pursuant to this chapter.

History of Section. P.L. 1973, ch. 243, § 1; P.L. 1995, ch. 370, art. 40, § 26.

5-49-19. Penalty for violations.

Violation of any provisions of this chapter shall be punishable, upon conviction, by a fine of not more than five hundred dollars ($500) or by imprisonment for not more than ninety (90) days, or both.

History of Section. P.L. 1973, ch. 243, § 1.

5-49-20. Severability.

  1. If any section, sentence, clause, phrase, or word of this chapter is for any reason held or declared to be unconstitutional, inoperative, or void, that holding of invalidity shall not affect the remaining portions;
  2. It shall be construed to have been the legislative intent to pass this chapter without that unconstitutional, invalid, or inoperative part; and
  3. The remainder of this chapter, after the exclusion of that part or parts, shall be deemed and held to be valid as if those parts had not been included.

History of Section. P.L. 1973, ch. 243, § 1.

5-49-21. Rules and regulations.

The department shall promulgate reasonable rules and regulations to carry out the purpose and intent of this chapter.

History of Section. P.L. 1980, ch. 341, § 9.

5-49-22. [Repealed.]

History of Section. P.L. 1981, ch. 384, § 1; Repealed by P.L. 1982, ch. 414, § 17.

Compiler’s Notes.

Former § 5-49-22 concerned termination of the board of hearing aid dealers and fitters.

5-49-23. Other rights and remedies.

The rights and remedies provided to a purchaser by this chapter shall be in addition to and are not construed to abrogate or diminish any rights and remedies the purchaser may have under other laws, including, but not limited to, chapter 2 of title 6A, chapter 2.1 of title 6A, and chapter 45 of title 6.

History of Section. P.L. 1997, ch. 149, § 2.

Chapter 50 Health Clubs

5-50-1. Definition of terms.

Whenever used in this chapter:

  1. “Business day” means any day except Sunday or a legal holiday.
  2. “Buyer” or “purchaser” means a natural person who enters into a health club contract.
  3. “Department” means the department of attorney general, unless otherwise described.
  4. “Disability” means a condition that will exist for more than forty-five (45) days and prevents a buyer from utilizing the health club to the same extent the buyer did before the commencement of the condition.
  5. “Health club” means any corporation, partnership, unincorporated association, or other business enterprise offering facilities for the preservation, maintenance, encouragement, or development of physical fitness or well-being in return for the payment of a fee entitling the payer to the use of the facilities. The term includes, but is not limited to, “health spas,” “health clubs,” “health studios,” “figure salons,” “sports clubs,” “aerobic dance studios,” “weight-control studios,” “gyms,” and anywhere exercise facilities are available; but does not include any nonprofit organization, any private club owned and operated by its members, or any facility owned or operated by the state of Rhode Island or any of its political subdivisions.
  6. “Health club contract” means a written statement where a buyer is entitled to membership in a health club or use of the facilities of a health club for a period longer than seven (7) days.
  7. “Seller” means any person, firm, corporation, partnership, unincorporated association, franchise, franchisor, or other business enterprise that operates a health club or offers or enters into contracts for health club services.
  8. “Services actually received” includes any period during which the facilities of the health club are available to the buyer and are actually used by the buyer.
  9. “Unopened facility” means a health club that is not fully constructed, open or available for use at the time the seller and buyer enter into a contract for health club services.

History of Section. P.L. 1996, ch. 154, § 1.

Repealed and Reenacted Sections.

Section 1 of P.L. 1996, ch. 154, repealed former § 5-50-1 (P.L. 1975, ch. 126, § 1; P.L. 1981, ch. 328, § 1), concerning definitions, and enacted the above section, effective August 5, 1996.

Comparative Legislation.

Health spas:

Conn. Gen. Stat. § 21a-216 et seq.

Mass. Ann. Laws ch. 93, § 78 et seq.

5-50-2. Registration — Fees — Renewals — Suspension or revocation.

  1. No person, firm, corporation, or other entity shall operate or cause to be operated a health club unless duly registered as provided in this chapter.
    1. Each health club shall be registered with the department.
    2. A health club shall file a registration statement in accordance with subsection (c) before entering into a health club contract with a buyer.
    3. All contracts entered into when a health club does not have a current registration statement filed shall be void.
    4. A nonrefundable registration fee of one hundred dollars ($100) shall be required of all health clubs.
    5. Registration shall be valid for one year from its effective date, and may be annually renewed with the department by making the filing required by subsection (c), and paying a renewal fee of fifty ($50.00) dollars.
    6. Whenever, prior to expiration of a seller’s annual registration, there is material change in the information required by subsection (c), the seller, within ten (10) days, shall file an addendum updating the information with the department.
  2. The registration forms to be provided by the consumer protection unit of the department shall include:
    1. The name and address of the health club and any multiple location operations;
    2. Names and residential addresses of officers, directors, and majority stockholders of the health club;
    3. The name and address of the parent company if any;
    4. Approximate square footage of the health club;
    5. The types of available facilities;
    6. The types of membership plans offered and their cost;
    7. A copy of the contract for health club services;
    8. A full and complete disclosure of any pending or completed litigation, or any complaint filed with a governmental authority against the health club or any of its officers or directors within the last three (3) years;
    9. Proof of bonding if applicable as required by § 5-50-3 ;
    10. Appropriate certification or documentation from the municipality where the health club is located that the facility has not been cited as being in violation of compliance with applicable zoning and planning regulations, fire regulations, and building codes. It is the responsibility of the applicant to provide this documentation to the department. The department may waive this requirement for applicants from municipalities without these applicable codes or regulations; and
    11. The names and locations of any health club in which any of the principals may have been associated in the last three (3) years.
    1. The principals who leave a health club shall remain subject to the provisions of this section and chapter until notice is given to the department that they are no longer associated with the registered health club.
    2. Any replacement principal shall file with the department a notice made in the form of an updated registration application.
  3. Changes in physical locations within Rhode Island must be made, in writing, to the department within ten (10) days of the move.
  4. No health club shall engage in any act or practice that is in violation of the provisions of this chapter or any regulation adopted to carry out the provisions of this chapter, or engage in conduct likely to mislead, deceive, or defraud the buyer, the public, or the local authority.
  5. The department may refuse to grant or renew a registration or may suspend or revoke the registration of any health club that engages in any conduct prohibited by this chapter or does not comply with the statutory requirements prescribed in §§ 5-50-3 and 5-50-7 .

History of Section. P.L. 1996, ch. 154, § 1; P.L. 1998, ch. 437, § 1.

Repealed Sections.

Section 1 of P.L. 1996, ch. 154, repealed former § 5-50-2 (P.L. 1975, ch. 126, § 1; P.L. 1981, ch. 328, § 1; P.L. 1984, ch. 222, § 1), concerning right of contract cancellation, and enacted the above section, effective August 5, 1996.

5-50-3. Bonding.

  1. Prior to the execution of any contract for health club services, every seller that sells contracts for health club services shall, for each individual health club location or facility, obtain a surety bond in the amount of ten thousand dollars ($10,000) for a facility with less than ten thousand (10,000) square feet of permanently covered, non-court sport exercise/aerobic/fitness area; twenty thousand ($20,000) for facilities between ten thousand (10,000) square feet and twenty-five thousand (25,000) square feet of permanently covered, non-court sport exercise/aerobic/fitness area; and thirty thousand dollars ($30,000) for facilities with greater than twenty-five thousand (25,000) square feet of permanently covered, non-court sport exercise/aerobic/fitness area.
  2. Proof of bonding must be presented at the time of registration or re-registration.
  3. This section does not apply to:
    1. Any owner/operator in continuous operation in the same location for five (5) years as of January 1, 1998;
    2. Nonprofit organizations, weight loss and control services that do not provide physical exercise facilities and classes and that do not obligate the customer for more than thirty (30) days, and do not require an initiation fee as a condition of the contract; or
    3. A seller that does not require an initiation fee as a condition of a health club contract and whose only type of membership does not exceed thirty (30) days and that posts a conspicuous notice, placed with or near its schedule of rates posted pursuant to § 5-50-8(b) or at its entrances, that the seller is not subject to the bonding requirements of this section.

History of Section. P.L. 1996, ch. 154, § 1; P.L. 1997, ch. 331, § 1; P.L. 1998, ch. 437, § 1; P.L. 1999, ch. 354, § 15.

Repealed Sections.

Section 1 of P.L. 1996, ch. 154, repealed former § 5-50-3 (P.L. 1975, ch. 126, § 1; P.L. 1981, ch. 328, § 1; P.L. 1984, ch. 222, § 1), concerning contract contents and notice to buyer of right to cancel contract, and enacted the above section, effective August 5, 1996.

5-50-4. Contract contents — Notice to buyer of right to cancel contract — Right of contract cancellation — Refund.

  1. A copy of every health club contract shall be delivered to the buyer at the time the contract is signed.
    1. All health club contracts must be in writing signed by the buyer; must designate the date on which the buyer actually signs the contract; and must contain a statement of the buyer’s rights that substantially complies with this section.
    2. The statement must appear in the contract under the conspicuous caption “BUYER’S RIGHT TO CANCEL,” and read as follows:

      “If you wish to cancel this contract, you may cancel in person or by mail to the seller. You must give notice, in writing, that you do not wish to be bound by the contract. This notice must be delivered or mailed before midnight of the tenth (10th) business day after the date of the contract so entered into. All cancellations must be delivered or mailed to: (Insert name and mailing address of health club).”

    3. Proof of in-person cancellation shall be effectuated by writing “cancellation” and the date of cancellation across the contract.
    4. The buyer shall receive a copy of the contract.
    5. The signature of the person employed by the health club who registers the cancellation must also appear on the contract.
  2. Every contract for health club services shall provide that the contract may be cancelled before midnight of the tenth (10th) day after the date of the contract so entered into. The notice of the buyer’s cancellation of his or her contract shall be in writing and shall be made in person or by mail to the seller at the address specified in the contract.
  3. Every contract for health club services shall provide clearly and conspicuously, in writing, that after the expiration of the ten-day (10) period for cancellation as provided in subsection (b)(2):
    1. The buyer shall be relieved from any and all obligations under the contract, and shall be entitled to a refund of any prepaid membership under the contract if:
      1. A buyer relocates further than fifteen (15) miles from a comparable health club facility operated by the seller;
      2. If a health club facility relocates further than fifteen (15) miles from its current location, or the seller does not maintain a health club service within a fifteen (15) mile radius from its current location; or
      3. If the health club services or facilities are not available to the buyer because the seller fails to open a planned health club or location, permanently discontinues operation of the health club or location, or substantially changes the operation;
    2. If a buyer becomes significantly physically or medically disabled for a period in excess of three (3) months during the membership term, he or she has the option:

      (i) To be relieved of liability for payment on that portion of the contract term for which the purchaser is disabled and receive a full refund of any prepaid membership on the contract; or

      (ii) To extend the duration of the contract at no additional cost for a period equal to the duration of the disability. The health club may require that a doctor’s certificate be submitted as verification of the disability;

    3. In the event of the buyer’s death, his or her estate shall be relieved of any further obligation for payment under the contract and shall be entitled to a refund for any prepaid membership for the unused portion of the contract. The health club may require verification of death;
    4. In the event of a sale of health club ownership, the contract is voidable at the option of the buyer.
  4. A health club contract that does not comply with the provisions of this chapter is voidable at the option of the buyer.
  5. Upon cancellation pursuant to this section, the buyer shall be free of any and all obligations under the contract, and any prepaid monies pursuant to this contract shall be refunded within fifteen (15) business days of receipt of the notice of cancellation. The right of cancellation shall not be affected by the terms of the contract and may not be waived or surrendered.
  6. Notice of the buyer’s right to cancel and the method of cancellation under this section shall also be posted clearly and conspicuously on the premises of the health club.

History of Section. P.L. 1996, ch. 154, § 1; P.L. 1999, ch. 354, § 15.

Repealed Sections.

Section 1 of P.L. 1996, ch. 154, repealed former § 5-50-4 (P.L. 1975, ch. 126, § 1; P.L. 1981, ch. 328, § 1; P.L. 1984, ch. 222, § 1), concerning limitation of long term contracts, and enacted the above section, effective August 5, 1996.

5-50-5. Duration of contracts.

  1. No contract for health club services shall be for a term longer than twenty-four (24) months; except that upon expiration of the contract, the seller may offer the buyer the right to renew his or her contract for a similar, shorter or longer period not to exceed twenty-four (24) months.
  2. No contract for health club services shall require payments or financing by the buyer over a period that extends more than one month beyond the expiration of the contract. The installment payments shall be in substantially equal amounts exclusive of the down payment and shall be required to be made at substantially equal intervals, not more frequently than one payment per month.
  3. No contract for health club services may contain any provisions where the buyer agrees not to assert against the seller, or any assignee or transferee, of the health club services contract, any claim or defense arising out of the health club services contract or the buyer’s activities at the health club.
  4. No contract for services may require the buyer to execute a promissory note or series of promissory notes that, when negotiated, cuts off as to third parties a defense that the buyer may have against the seller.

History of Section. P.L. 1996, ch. 154, § 1.

Repealed Sections.

Section 1 of P.L. 1996, ch. 154, repealed former § 5-50-5 (P.L. 1975, ch. 126, § 1), concerning preopening sales, and enacted the above section, effective August 5, 1996.

5-50-6. Downgrading of membership.

No buyer may be charged an additional fee for reducing a membership to a different and lesser grade of membership in the health club.

History of Section. P.L. 1996, ch. 154, § 1.

Repealed Sections.

Section 1 of P.L. 1996, ch. 154, repealed former § 5-50-6 (P.L. 1975, ch. 126, § 1), concerning remedies, and enacted the above section, effective August 5, 1996.

5-50-7. Pre-opening sales — Permit and bond required — Facilities unopened — Under construction and planned.

  1. Any health club that is not fully operative or established and that conducts a pre-opening sales campaign must, before advertising or hold a pre-opening sales campaign, obtain a permit from the director of business regulation. The permit shall not be issued until a surety bond is posted in the amount stipulated in § 5-50-3 .
  2. Any person, firm, corporation, or other entity intending to offer health club services at a facility under construction or planned shall register as required by § 5-50-2 before opening for business, entering into any contracts, or accepting any fees and shall maintain a surety bond as required by § 5-50-3 .
    1. A health club shall not enter into a contract with a buyer more than twelve (12) months prior to the intended opening of the health club.
    2. A buyer shall be entitled to a full refund from an unopened seller as provided in § 5-50-4(d) .
    3. When the facility is substantially completed and fully operational and available for use, the seller shall mail or personally deliver to each buyer a written notice informing the buyer that:
      1. The facility is available for inspection and use; and
      2. The buyer has fifteen (15) days after the date of the mailing of the notice to inspect the facility and determine whether it substantially conforms to the written contract, any written materials provided by the seller, or any advertisement by the seller.
    4. If it is found that the facilities do not conform, the buyer may cancel by giving notice to the seller in person or by mail and the buyer shall receive a full refund.
    5. If upon reasonable investigation the buyer ascertains that the promised facility was not open and available for use within sixty (60) days after the date promised, and no substantial work was performed to prepare the facility for opening for a period of more than thirty (30) days thereafter, the buyer may request a refund from the seller and the buyer shall receive a full refund.
  3. The director of the department of business regulation may promulgate rules and regulations as may be necessary to carry out the provisions of this section.

History of Section. P.L. 1966, ch. 154, § 1; P.L. 1999, ch. 354, § 15.

Repealed Sections.

Section 1 of P.L. 1996, ch. 154, repealed former § 5-50-7 (P.L. 1987, ch. 150, § 1), concerning posting of rates, and enacted the above section, effective August 5, 1996.

5-50-8. Truth in advertising — Posting of rates.

  1. It is unlawful for a seller, his or her agents, employees, or other representatives to misrepresent directly or indirectly in its advertising, promotional materials, or in any other manner:
    1. The size, location(s), facilities, or equipment of the health club;
    2. The nature, extent, and availability of the services, courses, programs, guidance, instruction, counseling, assistance, devices, or methods available at the health club;
    3. The price structure, price discounts, sales, or offers of the health club.
  2. Every health club must clearly post, within twenty-feet (20´) of the main entrance, a schedule of rates that advises buyers and potential buyers of the charges for the use of the health club facilities. The rates will include all renewal and new membership dues and fees.

History of Section. P.L. 1996, ch. 154, § 1; P.L. 2000, ch. 514, § 1.

5-50-9. Remedies, injunctive relief, and civil penalties.

  1. Any buyer of a health club contract that is in material violation of this chapter has a right to cancel the contract and a right of action against the health club for recovery of triple the amount actually paid to the health club under the contract. In addition to any judgment awarded to the buyer, the court may allow reasonable attorney’s fees to be taxed as cost.
  2. The superior court of this state has jurisdiction to prevent and restrain violations of this chapter. The court may issue appropriate decrees upon consent and stipulation by the parties. The court may also issue restraining orders. Under no circumstances is the state required to post bond in any action under this section.
  3. The attorney general is authorized to apply to the superior court for an order temporarily or permanently restraining and enjoining any health club from operating in violation of any provision of this chapter. The attorney general may institute proceedings as provided in subsection (b).
    1. Any person may institute proceedings for injunctive relief, temporary or permanent, as provided in subsection (b), against threatened loss or damage by a violation of this chapter.
    2. A preliminary injunction may be issued upon a showing that the danger of irreparable loss or damage is immediate and, within the court’s discretion, the execution of property bond against damages for an injunction improvidently granted.
    3. If the court issues a permanent injunction, the plaintiff shall be awarded reasonable attorney’s fees, filing fees, and reasonable costs of the suit. Reasonable costs of the suit may include, but not be limited to, the expenses of discovery and document production.
  4. In addition to the injunctive relief authorized by subsection (b), any person, firm, corporation, or other entity who or that violates this chapter may be liable for a civil penalty in a suit by the attorney general of this state of not more than one thousand dollars ($1,000) for each violation.

History of Section. P.L. 1996, ch. 154, § 1.

5-50-10. Common-law rights preserved.

Nothing in this chapter shall be construed to nullify or impair any right that a buyer may have against a seller at common law, by statute, or otherwise. The provisions of this chapter shall not be exclusive and shall not relieve the seller, the assigns, or contracts from compliance with all other applicable provisions of law.

History of Section. P.L. 1996, ch. 154, § 1.

5-50-11. Severability.

If any provisions of this chapter or any rule or regulation made pursuant to this chapter, or the application of this chapter to any person or circumstances, is held invalid by any court of competent jurisdiction, the remainder of the chapter, rule, or regulation and the application of such provision to other persons or circumstances shall not be affected by that invalidity. The invalidity of any section or sections or parts of any section of this chapter shall not affect the validity of the remainder of the chapter.

History of Section. P.L. 1996, ch. 154, § 1.

5-50-12. Defibrillators.

  1. Every health club registered with the department of attorney general pursuant to this chapter shall have at least one automated external defibrillator (AED) on the premises. The AED will at all times be deployed in a manner in which best provides accessibility to staff, members, and guests. At least one employee per shift must be properly trained by the American Heart Association or comparable state-recognized agency in cardiopulmonary resuscitation (CPR) and AED, and must be on duty during hours of operation.
  2. Any facility that has a health club on premises that currently complies with all parts within this act shall be exempted from duplication.
  3. A cause of action against a health club or its employees, in connection with the use or nonuse of an AED, shall not exist except in cases where the health club has failed to purchase an AED as required under this act and in cases of willful or wanton negligence.
  4. A knowing or willful violation of this section by a health club may result in suspension or revocation of its registration.
  5. Any health club that operates a facility on a key-pass basis with no attending employees at any time is exempt from the trained-employee-on-duty requirement set forth in subsection (a).

History of Section. P.L. 2004, ch. 440, § 1; P.L. 2004, ch. 453, § 1; P.L. 2007, ch. 356, § 1.

Collateral References.

Liability Arising Out of Availability or Use of Automated External Defibrillator or Other Defibrillator Device. 2 A.L.R.7th Art. 5.

Chapter 51 Rhode Island State Board of Examiners of Landscape Architects

5-51-1. Definitions.

As used in this chapter, the following definitions of words and terms apply:

  1. “Board” means the Rhode Island state board of examiners of landscape architects.
  2. “Decorative planting plans” means and refers to planning and designing intended exclusively for the decoration of residential structures or settings that contain no greater than two (2) “dwelling units” as the term is defined in § 45-24-31(24) and that involves the use and arrangement of trees, shrubs, plants, ground-cover, and/or flowers for aesthetic and decorative purposes only, but specifically does not include the following:
    1. Plans or designs that create the layout of grading, vehicular paving, drainage, stormwater management, irrigation, erosion control, retaining walls, decks, gazebos, pools, or any similar structures;
    2. Plans or designs intended or used at any time or in any manner for or in furtherance of the purpose of obtaining federal, state, or local building, construction, or related permits or like authorizations; and/or
    3. Plans or designs relating to federal, state, or local public works or public projects, or otherwise relating to property that is not privately owned.
  3. “Department” means the department of business regulation.
  4. “Director” means the director of the department of business regulation or his or her designee.
  5. “Landscape architect” means a person who engages or offers to engage in the practice of landscape architecture.
    1. “Landscape architecture” means planning and designing the use, allocation, and arrangement of land and water resources, through the creative application of biological, physical, mathematical, and social processes. Insofar as these services involve safeguarding life, health, or property, and include any other professional services that may be necessary to the planning, progress, and completion of any landscape architectural services, these services may include, but not be limited to, the following:
      1. Consultation, research, analysis and assessment, selection, and allocation of land and water resources;
      2. Formulation of graphic and written criteria to govern the planning and design of land construction development programs including:
        1. The preparation, review, and analysis of master and site plans;
        2. Reconnaissance, planning, design, preparation of drawings, construction documents and specifications, and responsible construction observation;
      3. Design coordination and review of technical plans and construction documents prepared by other professionals working under the direction of the landscape architect;
      4. Land preservation, restoration, conservation, reclamation, rehabilitation, management, and development;
      5. Feasibility studies and site selection for developments;
      6. Integration, site analysis, and determination of settings for grounds and locations of buildings, structures, transportation systems, and environmental systems;
      7. Analysis and design of grading and drainage, stormwater management, irrigation systems for erosion and sediment controls, planting plans, lighting, and ground cover; and
      8. Feasibility studies, cost estimates, and reports for development.
    2. “Landscape architecture” does not mean nor extend to the preparation of “decorative planting plans” as defined in subsection (2).

History of Section. P.L. 1975, ch. 183, § 1; P.L. 1980, ch. 226, § 11; P.L. 1997, ch. 30, art. 25, § 4; P.L. 1999, ch. 289, § 1; P.L. 2009, ch. 310, § 37; P.L. 2013, ch. 298, § 4; P.L. 2013, ch. 378, § 4.

Comparative Legislation.

Landscape architects:

Conn. Gen. Stat. § 20-367 et seq.

Mass. Ann. Laws ch. 13, § 67 et seq.; ch. 112, § 98 et seq.

Collateral References.

What constitutes publication of architectural plans, drawings, or designs, so as to result in loss of common-law copyright. 77 A.L.R.2d 1048.

5-51-2. Board — Creation — Composition — Appointment, terms, and qualifications of members — Duties — Compensation.

    1. There is established a state board of landscape architects that consists of seven (7) members.
    2. On May 19, 1975, the governor shall appoint one member to serve until the first day of February, 1976, or until his or her successor is appointed and qualified; one member to serve until the first day of February, 1977, or until his or her successor is appointed and qualified; one member to serve until the first day of February, 1978, or until his or her successor is appointed and qualified; one member to serve until the first day of February, 1979, or until his or her successor is appointed and qualified; and one member to serve until February, 1980, or until his or her successor is appointed and qualified.
    3. Upon completion of the original term, the terms of members identified in subsection (a)(2) shall be for five (5) years.
    4. One member of the board shall be from the general public. This member shall serve for terms of five (5) years.
    5. Four (4) members of the board shall be landscape architects whose residences and principal places of business shall be within this state, who have been actively engaged in the practice of landscape architecture within this state. The original appointees to the board do not need to be registered but engaged in the practice of landscape architecture for a minimum of four (4) years.
    6. The governor may remove any member from office for misconduct, incapacity, or neglect of duty.
  1. During the month of July of each year, the board shall elect from its members a chairperson and a vice chairperson.
  2. The board shall keep a true and complete record of all its proceedings.
  3. Subject to the approval of the director, the board may make all necessary regulations and bylaws not inconsistent with this chapter.
  4. In carrying into effect the provisions of this chapter, the director may subpoena witnesses and compel their attendance and may require the production of books, papers, and documents in any proceeding involving the revocation of registration, or practicing or offering to practice without registration.
    1. The director may administer oaths or affirmations to witnesses appearing before the director.
    2. If any person fails to appear in response to that process, or if, having appeared in obedience to the process, he or she refuses to answer any pertinent questions put to him or her by any member of the board or department, he or she, upon presentation of those facts to the superior court, shall be subject to any fines and penalties that might be imposed by the court if that failure or refusal occurred in any civil action pending in that court.
  5. Subject to the director’s approval, the board may establish a procedure for complaints concerning any licensed or certified landscape architects.
  6. Subject to the director’s approval, the board shall establish procedures and programs in conjunction with the department of environmental management and may annually publish a report of its activities, operations, and recommendations.
  7. Members of the board shall not be compensated for meetings attended.
  8. The state shall indemnify the department and/or board and the members, employees, or agents thereof, and hold them harmless from, any and all costs, damages, and reasonable attorney’s fees arising from or related in any way to claims or actions or other legal proceedings taken against them for any actions taken in good faith in the intended performance of any power granted under this chapter or for any neglect or default in the performance or exercise in good faith of that power.

History of Section. P.L. 1975, ch. 183, § 1; P.L. 1980, ch. 226, § 11; P.L. 1999, ch. 354, § 16; P.L. 2000, ch. 55, art. 14, § 3; P.L. 2000, ch. 109, § 3; P.L. 2005, ch. 117, art. 21, § 16; P.L. 2012, ch. 34, § 2; P.L. 2013, ch. 298, § 4; P.L. 2013, ch. 378, § 4.

5-51-3. Use of title “landscape architect” restricted — Registration certificate requirement.

No person, except as provided in § 5-51-12 , may use the title “landscape architect” or display or use any words, letters, figures, title, signs, seal, advertisement, or other device to indicate that the person practices or offers to practice landscape architecture or may represent himself or herself as a practitioner of landscape architecture or engages in the practice of landscape architecture in this state, unless that person has first secured a certificate of registration as provided in this chapter.

History of Section. P.L. 1975, ch. 183, § 1; P.L. 1999, ch. 354, § 16.

5-51-4. Filing of applications for license.

  1. An application for a license to practice landscape architecture shall be submitted on the form provided by the board, and shall be received at any time during regular business hours at the office of the board. Before being eligible for licensure as a landscape architect, each applicant shall submit evidence to the board of the following:
    1. The applicant has completed a course of study and has graduated from a college or school of landscape architecture approved by the board. In lieu of graduation from an approved college or school of landscape architecture, an applicant may present evidence of at least six (6) years of practical experience in landscape architectural work of a grade and character satisfactory to the board. Credit may be given for approved college education, in the discretion of the board; and
    2. The applicant has had either: (i) A minimum of two (2) years’ experience in landscape architectural work under the direct supervision of a registered landscape architect and of a grade and character satisfactory to the board; or (ii) One year’s experience in landscape architectural work under the direct supervision of a registered landscape architect and of a grade and character satisfactory to the board and one year’s experience in related work under the direct supervision of a registered “allied professional” and of a grade and character satisfactory to the board. For purposes of this subsection, the term “allied professional” shall mean an individual professional licensed as an architect, engineer, or a land surveyor; and
    3. He or she has satisfactorily completed all sections of the examination as required by the board.
  2. Each applicant shall submit, with the formal application for a license, authentic proof of the statements made in the application, by attaching any documentary evidence, affidavits, registrars’ statements, diplomas, published data, photographs, photostats, or any other sworn evidence, as in the discretion of the board, may be sufficient to show that the applicant is clearly eligible under the section of the law upon which the application is based. All documents shall be properly marked for identification and ownership.
  3. The board shall reserve the right to retain, as a permanent part of the application, any or all documents submitted. Original documents, at the request and expense of the applicant, may be replaced by photostatic copies of those documents.

History of Section. P.L. 1975, ch. 183, § 1; P.L. 2004, ch. 111, § 1; P.L. 2004, ch. 154, § 1.

5-51-5. Procedure for processing applications for license.

  1. All applicants shall be considered individually by the board, with the assistance of the department, and passed or rejected on a roll call vote. The action taken by the board on each application shall be recorded in the minutes and an outline of the action taken by the board shall be placed with the application.
  2. Personal appearance before the board, if required, shall be at the time and place designated by the board.
  3. Failure to supply additional evidence or information within sixty (60) days from the date of a written request from the board, or to appear before the board when an appearance shall be deemed necessary by the board, may be considered just and sufficient cause for disapproval of the application.
  4. Any party aggrieved by the board’s decision regarding license issuance may, within ten (10) days of the decision, appeal the matter to the director by submitting a written request for a formal hearing to be conducted in accordance with the provisions of § 5-51-17.1 .

History of Section. P.L. 1975, ch. 183, § 1; P.L. 2013, ch. 298, § 4; P.L. 2013, ch. 378, § 4.

5-51-6. Examinations.

  1. Before being examined for registration as a landscape architect, each applicant shall submit evidence to the board that:

    The applicant has completed a course of study and has graduated from a college or school of landscape architecture approved by the board. In lieu of graduation from an approved college or school of landscape architecture, an applicant may present evidence of at least six (6) years of practical experience in landscape architectural work of a grade and character satisfactory to the board. Credit may be given for approved college education, in the discretion of the board.

  2. The scope of the examinations shall be established by the board, and the examinations shall be designed to determine the qualifications of the applicant to practice landscape architecture. The examination shall cover technical, professional, and practical subjects as relate to the practice of the profession of landscape architecture. The examinations shall also cover the basic arts and sciences, knowledge of which is material and necessary to the proper understanding, application, and qualification for practice, of the profession of landscape architecture. (The board may use the Council of Landscape Architects Registration Boards’ national examination in lieu of preparing a special test for its own use.)
  3. The board may establish or change the written examination and include an oral examination as a supplement to the written examination. The board may also determine the eligibility of the applicant before permitting admittance to the examination.
  4. The subjects included in the examination shall be determined by the board and may be combined, revised, or eliminated. The time allotted for the examination may be altered at the discretion of the board.
  5. The written examination shall be given at least once in each calendar year. The date, time, and place of the examination shall be determined by the board.
  6. The examination shall be conducted in accordance with the instructions issued by the board.

History of Section. P.L. 1975, ch. 183, § 1; P.L. 1991, ch. 44, art. 18, § 1; P.L. 1996, ch. 164, § 6; P.L. 1997, ch. 30, art. 25, § 4; P.L. 1999, ch. 289, § 1; P.L. 2004, ch. 111, § 1; P.L. 2004, ch. 154, § 1.

5-51-7. Reciprocity — Waiver of requirements for examination.

  1. The board may waive the requirements for examination of a competent landscape architect holding a license in another state, territory, or possession of the United States, or in a foreign country, provided that state, territory, possession, or country grants equal rights and has at least equal standards, and provided that the applicant’s license shall be based on comparable written examinations and that his or her qualifications meet all of the requirements of this chapter based on verified evidence satisfactory to the board.
  2. Subject to the director’s approval, the board shall establish standards for the determination and implementation of reciprocity with other states.

History of Section. P.L. 1975, ch. 183, § 1; P.L. 1980, ch. 226, § 11; P.L. 1999, ch. 289, § 1; P.L. 2013, ch. 298, § 4; P.L. 2013, ch. 378, § 4.

5-51-8. Granting of licenses to practice landscape architecture.

  1. An applicant meeting all requirements of the law and of the board and eligible for a license to practice landscape architecture in the state shall be notified by the board of his or her eligibility.
  2. Upon payment of the thirty-dollar ($30.00) license fee, the board shall issue the license certificate to the landscape architect.
  3. The license certificate shall indicate the registration number of the landscape architect. This registration number must appear on the landscape architect’s seal and on all works signed by the landscape architect.

History of Section. P.L. 1975, ch. 183, § 1; P.L. 1980, ch. 226, § 11.

Cross References.

Fee for issue of certificate of registration, § 5-51-14 .

5-51-9. Annual renewal of licenses and certificates of authorization.

    1. Every license shall be valid for a period of two (2) years and shall expire on the last day of June of each odd-numbered year following its issuance. Every certificate of authorization shall be valid for a period of two (2) years and shall expire on the last day of June of each even-numbered year following its issuance. A license or certificate of authorization may be renewed by paying the renewal fee required by § 5-51-14 . A landscape architect who fails to renew his or her license prior to each June 30, may not thereafter renew his or her license except upon payment of the renewal fee and the additional fee(s) required by § 5-51-14 . A landscape architectural firm that fails to renew its certificate of authorization prior to each June 30 may not thereafter renew its certificate of authorization except upon payment of the renewal fee and the additional fee(s) required in § 5-51-14. The certificates of authorization shall be issued by the board, with the assistance of the department, indicating the sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company named in it is permitted to practice landscape architecture in this state. A license or certificate of authorization shall not be renewed until the renewal fee is received by the board.
    2. Licenses and certificates of authorization not renewed by the payment of the renewal fee prior to each June 30 shall be construed to be expired, and shall require an application for reinstatement.
  1. Subject to the approval of the director, the board may determine and establish rules and regulations for continuing education requirements and other recertification procedures as the board deems necessary.
  2. The board may require all applicants for renewal to provide the board with any information, including but not limited to, a brief outline setting forth the professional activities of any applicant during a period in which a license or certificate of authorization has lapsed and other evidence of the continued competence and good character of the applicant that the board deems necessary.
  3. Any party aggrieved by the board’s decision regarding license renewal may, within ten (10) days of the decision, appeal the matter to the director by submitting a written request for a formal hearing to be conducted in accordance with the provisions of § 5-51-17.1 .

History of Section. P.L. 1975, ch. 183, § 1; P.L. 1980, ch. 226, § 11; P.L. 1982, ch. 414, § 9; P.L. 1997, ch. 30, art. 25, § 4; P.L. 1999, ch. 289, § 1; P.L. 2004, ch. 56, § 4; P.L. 2004, ch. 63, § 4; P.L. 2013, ch. 298, § 4; P.L. 2013, ch. 378, § 4.

Cross References.

Fee for renewal of certificate of registration, § 5-51-14 .

5-51-10. Restoration of an expired license.

  1. Application for the restoration of an expired license that has been allowed to lapse for more than one year shall be accompanied by a brief outline listing the professional activities of the applicant during the lapsed period.
  2. The renewal fee must accompany the application for restoration.

History of Section. P.L. 1975, ch. 183, § 1; P.L. 1997, ch. 30, art. 25, § 4.

Cross References.

Fee for restoration of expired certificate of registration, § 5-51-14 .

5-51-11. Seals — Rubber stamps.

    1. For the purpose of signing all final drawings, plans, specifications, reports, and other contract documents, each licensed landscape architect shall obtain an individual seal and a rubber stamp (a facsimile of the seal) to be used on documents prepared by him or her or under his or her supervision.
    2. Firms consisting of more than one licensed landscape architect may use a single seal identifying a partner (if a partnership or limited-liability partnership), officer, or director (if a corporation) or a member or manager (if a limited-liability company) as being personally responsible for the professional services provided.
    3. The board shall furnish a copy of the authorized seal from which the applicant can have a seal and stamp made.
  1. The application of the seal impression, to the first sheet of bound sets of drawings (with index of drawings included), title page of specifications, and to other drawings and contract documents shall constitute the registered landscape architect stamp.
  2. The rubber stamp may be applied on all tracings to produce legible reproduction on all copies or prints made from the tracings. This provision does not in any manner modify the requirements of this section.

History of Section. P.L. 1975, ch. 183, § 1; P.L. 1997, ch. 30, art. 25, § 4; P.L. 2004, ch. 56, § 4; P.L. 2004, ch. 63, § 4; P.L. 2015, ch. 82, § 7; P.L. 2015, ch. 105, § 7.

5-51-12. Persons exempt from licensure.

Employees of the United States doing work in Rhode Island for the United States government, and state, city, town, or regional planners shall be exempt from the license and registration provisions of this chapter. Nothing contained in this chapter shall be construed to prohibit or restrict the practice of professional planning by private consultants or employees of public agencies, nor the practice of architects, professional engineers, land surveyors, landscape gardeners, or nursery workers in the performance of their business or profession as distinct from the profession of landscape architecture.

History of Section. P.L. 1975, ch. 183, § 1.

5-51-13. Partnerships, limited-liability partnerships, corporations, and limited-liability companies.

  1. Partnerships, limited-liability partnerships, corporations, and limited-liability companies may not be licensed as registered to practice landscape architecture or to use any form of the title “landscape architect” in connection with the corporate or partnership company name unless authorized by this chapter.
    1. The right to engage in the practice of landscape architecture shall be a personal right, based upon the qualifications of the individual evidenced by his or her license and shall not be transferable.
    2. No person shall practice landscape architecture, or use the title “landscape architect,” or any title, sign, card, or device to indicate that this person is practicing landscape architecture, or is a landscape architect, unless that person has secured from the board a license in the provided manner.
    3. All final drawings, specifications, plans, reports, or other papers or documents involving the practice of landscape architecture, as defined in § 5-51-1 , for use in this state shall be dated, and shall bear the signature and seal of the landscape architect or landscape architects who prepared or personally supervised their preparation.
  2. The practice or offer to practice landscape architecture as defined by this chapter by a sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company (hereafter “the firm”), through one or more landscape architects licensed under the provisions of this chapter, shall be permitted; provided, that those licensed landscape architect(s): (1) Shall be in direct control of the practice; (2) Shall exercise personal supervision of all personnel who act on behalf of the firm in professional and technical matters; (3) Are registered under the provisions of this chapter; and (4) The firm has been issued a certificate of authorization by the board of examiners of landscape architects.
    1. Within one year after enactment of this chapter, every firm must obtain a certificate of authorization from the board, and those individuals in direct control of the practice, and who exercise direct supervision of all personnel who act on behalf of the firm in professional and technical matters, must be registered with the board.
    2. The certificate of authorization shall be issued by the board upon satisfaction of the provisions of this chapter and the payment of the required fee. This fee shall be waived if the firm consists of only one person who is the person in responsible charge.
    1. Every firm desiring a certificate of authorization must file with the board an application on a form provided by the board. Every certificate of authorization shall be valid for a period of two (2) years and shall expire on the last day of June of each even-numbered year following its issuance.
    2. A separate form provided by the board shall be filed with each renewal of the certificate of authorization. In addition, each 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.
    3. If, in its judgment, the information contained on the application and renewal form is satisfactory and complete, the board shall issue a certificate of authorization for the firm to practice landscape architecture in this state.

History of Section. P.L. 1975, ch. 183, § 1; P.L. 1991, ch. 44, art. 18, § 1; P.L. 1997, ch. 30, art. 25, § 4; P.L. 1999, ch. 289, § 1; P.L. 2004, ch. 56, § 4; P.L. 2004, ch. 63, § 4.

5-51-14. Fees.

The following is the schedule of fees to be charged by the board:

  1. The fees to be paid by an applicant for examination or reexamination to determine his or her fitness to receive a certificate of registration shall be determined by the board so as to cover expenses associated with administering and evaluating the examination or reexamination.
  2. The fee to be paid for the restoration of an expired certificate of registration shall not exceed one hundred fifty dollars ($150) for every year, or portion of a year, the applicant has been delinquent, plus a penalty of twenty-five dollars ($25.00).
  3. The fee to be paid upon the renewal of a certificate of registration shall not exceed one hundred fifty dollars ($150).
  4. The fee to be paid by an applicant for a certificate of registration who is a landscape architect registered or licensed under the laws of another state under § 5-51-7 , shall not exceed one hundred eighty dollars ($180).
  5. The fee to be paid by an applicant for a certificate of registration who qualifies and is a resident of this state is thirty-six dollars ($36.00).
  6. The initial fee for a certificate of authorization shall not exceed one hundred fifty dollars ($150).
  7. The annual renewal fee for a certificate of authorization is sixty dollars ($60.00).
  8. The fee to be paid for the reinstatement of an expired certificate of authorization is sixty dollars ($60.00) for every year or portion of a year the applicant has been delinquent, plus a penalty of twenty-five dollars ($25.00).
  9. All fees received by the board shall be deposited as general revenues.

History of Section. P.L. 1975, ch. 183, § 1; P.L. 1980, ch. 226, § 11; P.L. 1980, ch. 226, § 11; P.L. 1991, ch. 44, art. 18, § 1; P.L. 1992, ch. 133, art. 104, § 1; P.L. 1995, ch. 370, art. 40, § 27; P.L. 1997, ch. 30, art. 25, § 4; P.L. 2009, ch. 68, art. 12, § 13; P.L. 2015, ch. 82, § 7; P.L. 2015, ch. 105, § 7.

Cross References.

Fee for issue of license certificate to landscape architect, § 5-51-8 .

Fee for renewal of license, § 5-51-9 .

Fee for restoration of expired license, § 5-51-10 .

5-51-15. [Repealed.]

History of Section. P.L. 1981, ch. 389, § 1; Repealed by P.L. 1999, ch. 354, § 17, effective July 2, 1999.

Compiler’s Notes.

Former § 5-51-15 concerned the requiring of a certificate of registration. For present similar provisions, see § 5-51-3 .

5-51-16. Penalty for violations — Injunctive relief.

  1. No individual shall: (1) Practice or offer to practice landscape architecture in this state; or (2) Use any title, sign, card, or device implying that the individual is a landscape architect or is competent to practice landscape architecture in this state; or (3) Use in connection with his or her name or otherwise any title or description conveying or tending to convey the impression that the individual is a landscape architect or is competent to practice landscape architecture in this state; or (4) Use or display any words, letters, seals, or advertisements indicating that the individual is a landscape architect or is competent to practice landscape architecture in this state, unless that individual holds a current valid license issued pursuant to this chapter or is specifically exempted from holding a license under the provisions of this chapter.
  2. No sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company shall: (1) Practice or offer to practice landscape architecture in this state; (2) Use any title, sign, card, or device implying that the sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company is competent to practice landscape architecture in this state; (3) Use in connection with its name or otherwise any title or description conveying or tending to convey the impression that the entity is a landscape architectural firm or is competent to practice landscape architecture in this state; or (4) Use or display any words, letters, figures, seals, or advertisements indicating that the entity is a landscape architectural firm or is competent to practice landscape architecture in this state, unless that sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company complies with the requirements of this chapter.
  3. Any individual, sole proprietorship, partnership, limited-liability partnership, corporation, or limited-liability company that: (1) Violates subsection (a) or (b); (2) Presents or attempts to use the license/certificate of authorization of another; (3) Gives any false or forged evidence of any kind to the department and/or board or to any member or employee thereof in obtaining or attempting to obtain a license/certificate of authorization; (4) Falsely impersonates any other registration whether of a like or different name; (5) Uses or attempts to use an expired, revoked, or nonexistent license/certificate of authorization; (6) Falsely claims to be registered under this chapter; or (7) Otherwise violates any provision of this chapter, shall upon determination thereof by a court of competent jurisdiction, be subject to a civil penalty of one thousand dollars ($1,000) for the first offense, and a civil penalty of two thousand dollars ($2,000) for each subsequent offense; and in the court’s discretion and upon good cause shown, reimburse the department for any and all fees, expenses, and costs incurred by the department and/or board in connection with the proceedings, including attorney’s fees (which amounts shall be deposited as general revenues); and be subject to, in the board’s discretion, public censure or reprimand.
  4. Either on his or her own initiative or on the recommendation of the board, the director shall have the power to institute injunction proceedings in superior court to prevent violations of subsection (a) or (b) of this section and/or for violations of § 5-51-3 . In injunction proceedings, the director shall not be required to prove that an adequate remedy at law does not exist, or that substantial or irreparable damage would result from continued violations. The superior court, in its discretion and in addition to any injunctive relief granted to the department, may order that any person or entity in violation of this section shall: (i) Upon good cause shown, reimburse the department for any and all fees, expenses, and costs incurred by the department and/or board in connection with the proceedings, including attorney’s fees (which amounts shall be deposited as general revenues); and/or (ii) Be subject to public censure or reprimand.

History of Section. P.L. 1981, ch. 389, § 1; P.L. 1999, ch. 289, § 1; P.L. 2004, ch. 56, § 4; P.L. 2004, ch. 63, § 4; P.L. 2013, ch. 298, § 4; P.L. 2013, ch. 378, § 4.

5-51-17. Revocation or suspension of licenses or certificates of authorization.

After notice and a hearing as provided in § 5-51-17.1 , the director may in his or her discretion or upon recommendation of the board: suspend, revoke, or take other permitted action with respect to any license; and/or revoke, suspend, or take other permitted action with respect to any certificate of authorization; and/or publicly censure, or reprimand or censure in writing; and/or limit the scope of practice of; and/or impose an administrative fine upon (not to exceed one thousand dollars ($1,000) for each violation); and/or place on probation; and/or for good cause shown, order a reimbursement of the department for all fees, expenses, costs, and attorney’s fees in connection with the proceedings (which amounts shall be deposited as general revenues), all with or without terms, conditions, or limitations, holders of a license or certificate of authorization (hereafter referred to as licensee(s)), for any one or more of the following causes:

  1. Bribery, fraud, deceit, or misrepresentation in obtaining a license or certificate of authorization;
  2. Practicing landscape architecture in another state or country or jurisdiction in violation of the laws of that state or country or jurisdiction;
  3. Practicing landscape architecture in this state in violation of the standards of professional conduct established by the board and approved by the director;
  4. Fraud, deceit, recklessness, gross negligence, misconduct, or incompetence in the practice of landscape architecture;
  5. Use of a landscape architect’s stamp in violation of § 5-51-11 ;
  6. Violation of any of the provisions of this chapter or chapter 84 of this title;
  7. Suspension or revocation of the right to practice landscape architecture before any state or before any other country or jurisdiction;
  8. Conviction of or pleading guilty or nolo contendere to any felony or to any crime of, or an act constituting a crime of, forgery, embezzlement, obtaining money under false pretenses, bribery, larceny, extortion, conspiracy to defraud, or any other similar offense, in a court of competent jurisdiction of this state or any other state or of the federal government;
  9. Failure to furnish to the department and/or board, or any person acting on behalf of the board, in a reasonable time the information that may be legally requested by the department and/or board;
  10. In conjunction with any violation of subsections (1) through (9) of this section, any conduct reflecting adversely upon the licensee’s fitness to engage in the practice of landscape architecture; and
  11. In conjunction with any violation of subsections (1) through (9) of this section, any other conduct discreditable to the landscape architectural profession.

History of Section. P.L. 1999, ch. 289, § 2; P.L. 2013, ch. 298, § 4; P.L. 2013, ch. 378, § 4; P.L. 2021, ch. 400, § 14, effective July 13, 2021; P.L. 2021, ch. 401, § 14, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 14, and P.L. 2021, ch. 401, § 14 enacted identical amendments to this section.

5-51-17.1. Initiation of proceedings — Hearings before the board — Appeals — Notice to other states.

  1. The director may initiate proceedings under this chapter against holders of a license and/or certificate of authorization (hereafter referred to as licensee(s)) either on his or her own motion, upon recommendation of the board, on complaint of any person, or upon receiving notification from another state board of landscape architects or from the appropriate authority in another country or jurisdiction, of its decision to:
    1. Revoke, suspend, or refuse to renew the practice privileges granted in that state or in that country or jurisdiction to the licensee; or
    2. Publicly censure, or censure in writing, limit the scope of practice of, impose an administrative fine upon, or place on probation the licensee.
  2. A written notice stating the nature of the charge or charges against the licensee and the time and place of the hearing before the department 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.
  3. 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 director may proceed to hear evidence against the licensee and may enter any order that is justified by the evidence. An order shall be final unless the licensee petitions for a review of the order as provided in this section. Within thirty (30) days from the date of any order, upon a showing of good cause for failing to appear and defend, the director may reopen the proceedings and may permit the licensee to submit evidence in his, her, or on its behalf.
  4. At any hearing under this section, the licensee may: (1) Appear in person or be represented by counsel; (2) Produce evidence and witnesses on his, her, or its behalf; (3) Cross-examine witnesses; and (4) Examine any evidence that might be produced. A sole proprietorship may be represented by counsel before the board or department, or by the sole proprietor. A partnership or limited-liability partnership may be represented before the board or department by counsel or any partner. A corporation may be represented by counsel before the board or department, or any shareholder, officer, or director of the corporation. A limited-liability company may be represented before the board or department by counsel or any member or manager of the limited-liability company. The licensee shall be entitled, upon written application to the department, to the issuance of subpoenas to compel the attendance of witnesses on the licensee’s behalf.
  5. The director may issue subpoenas to compel the attendance of witnesses and the production of documents and may administer oaths, take testimony, hear proofs, and receive exhibits in evidence in connection with or upon hearing under this chapter. In case of disobedience to a subpoena, the director may petition the superior court to require the attendance and testimony of witnesses and the production of documentary evidence.
  6. The director shall not be bound by strict rules of procedure or by laws of evidence in the conduct of its proceedings, but any determination of the board shall be based upon sufficient legal evidence to sustain the determination.
  7. Recordings of all hearings under this section shall be in accordance with the rules and regulations established by the department’s rules of procedure for administrative hearings.
  8. The board may participate in formal proceedings before the director through representation by the department’s legal staff acting as the prosecuting agent before the director.
  9. Any appeal from the decision of the department, by a person or persons adversely affected by the decision, shall be governed by § 42-35-15 .
  10. On the director rendering a decision to: (1) Revoke or suspend a license issued under the laws of this state; (2) Revoke or suspend a certificate of authorization issued under the laws of this state; or (3) Publicly censure, censure in writing, limit the scope of practice of, impose an administrative fine upon, or place on probation a licensee, the board shall examine its records to determine whether the licensee holds a license or a certificate of authorization to practice in any other state or country or jurisdiction. If the board determines that the licensee in fact holds a license or certificate of authorization, the board shall immediately notify the board of landscape architecture of the other state or country or jurisdiction by mail of the director’s decision under this section, and shall include in the notice an indication as to whether or not the licensee has appealed the decision.
  11. The director may, in his or her discretion, order any licensee against whom proceedings have been initiated under this chapter to, upon good cause shown, reimburse the department and/or board for any and all fees, expenses, and costs incurred by the department in connection with these proceedings, including attorney’s fees. The fees shall be paid within thirty (30) days from the date they are assessed and may be reviewed in accordance with § 42-35-15 , and shall be deposited as general revenues.
  12. The department shall make its legal staff available to act as legal advisor to the board and shall render any legal assistance that may be necessary in carrying out the provisions of this chapter. The director may employ other counsel and obtain other necessary assistance to be appointed by the governor to aid in the enforcement of this chapter, and the compensation and expenses shall be paid from the fund of the department.
  13. Nothing herein shall be construed to prevent the board from entering into consent agreements or informal resolutions with any party under investigation for violations under this chapter and/or chapter 84 of this title.

History of Section. P.L. 1999, ch. 289, § 2; P.L. 2004, ch. 56, § 4; P.L. 2004, ch. 63, § 4; P.L. 2013, ch. 298, § 4; P.L. 2013, ch. 378, § 4.

5-51-18. Landscape architects rendering assistance during disaster emergency — Immunity from civil liability.

  1. A landscape architect or landscape architectural firm, duly licensed to practice in Rhode Island under this chapter, who or that voluntarily and without compensation provides landscape architecture services at the scene of a disaster emergency is not liable for any personal injury, wrongful death, property damage, or other loss or damages caused by an act or omission of a landscape architect or landscape architectural firm in performing those services.
  2. As used in this section, “disaster emergency” means a disaster emergency declared by executive order or proclamation of the governor pursuant to chapter 15 of title 30.
  3. The immunity provided in subsection (a) of this section shall apply only to the practice of landscape architecture as defined in this chapter regarding a landscape architectural service that:
    1. Concerns a land, air, space, or water resource whether publicly or privately owned that is identified pursuant to a disaster emergency executive order or proclamation;
    2. Relates to the integrity of the entire land, air, space, or water resource or any portion of a space and affects public safety; and
    3. Is rendered during the time in which a state of disaster emergency exists, as provided in chapter 15 of title 30.
  4. The immunity granted by this section does not apply to acts or omissions constituting gross negligence or willful misconduct.

History of Section. P.L. 2000, ch. 403, § 4.

Chapter 52 Travel Agencies [Repealed.]

5-52-1 — 5-52-15. [Repealed.]

Repealed Sections.

This chapter (P.L. 1976, ch. 72, § 1; P.L. 1978, ch. 152, § 1; P.L. 1979, ch. 182, § 1; P.L. 1979, ch. 397, § 1; P.L. 1979, ch. 398, § 1; P.L. 1981, ch. 277, §§ 1, 2; P.L. 1987, ch. 184, § 7; P.L. 1990, ch. 384, § 1; P.L. 1992, ch. 133, art. 93, § 1; P.L. 1993, ch. 138, art. 62, § 15; P.L. 1994, ch. 55, §§ 1, 2; P.L. 1999, ch. 354, § 18; P.L. 2004, ch. 595, art. 30, § 6), concerning travel agencies, was repealed by P.L. 2008, ch. 20, § 1, and P.L. 2008, ch. 23, § 1, both effective June 6, 2008.

Chapter 53 Solicitation by Charitable Organizations [Repealed.]

5-53-1 — 5-53-14. [Repealed.]

Repealed Sections.

This chapter (P.L. 1976, ch. 189, § 1; P.L. 1979, ch. 209, § 1; P.L. 1981, ch. 196, §§ 1, 2; P.L. 1984, ch. 88, § 1; P.L. 1985, ch. 252, § 1; P.L. 1990, ch. 413, § 13; P.L. 1993, ch. 138, art. 62, § 14; P.L. 1995, ch. 370, art. 40, § 28), concerning solicitation by charitable organizations, was repealed by P.L. 1999, ch. 152, § 1, effective June 28, 1999. For present similar provisions, see chapter 53.1 of this title.

Chapter 53.1 Solicitation by Charitable Organizations

5-53.1-1. Definitions.

The following words and phrases as used in this chapter have the following meanings unless a different meaning is required by the context:

  1. “Charitable organization” means any organization soliciting for a charitable purpose or any organization holding themselves out as such.
  2. “Charitable purpose” means, but is not limited to, any benevolent, educational, humane, patriotic, social service, civic, philanthropic, scientific, literary, or eleemosynary purpose.
  3. “Contribution” means the promise or grant of any money, property, or anything of value obtained through solicitation, except payments by members of any organization for fees, dues, fines, assessments, or for services rendered to individual members.
  4. “Department” means the department of business regulation.
  5. “Director” means the director of the department.
  6. “Fraudulent act” means that a party made a false representation of a material fact or concealed a material fact with the intention to deceive; that the party intended that a person rely on this material representation or misinformation; and that there was justifiable reliance on this representation or misinformation.
  7. “Fundraising counsel” means any person who for compensation consults with a charitable organization or who plans, manages, advises, or assists with respect to the solicitation of contributions for or on behalf of a charitable organization, but who does not have access to contributions or other receipts from a solicitation and who does not solicit. Bona fide volunteers or employees of a charitable organization, or an attorney-at-law retained by a charitable organization, shall not be deemed a fundraising counsel.
  8. “Membership” means the collective body of any charitable organization comprised of persons having voting rights and other powers of governance and who derive a direct benefit or privilege as a member thereof.
  9. “Person” means and shall include any individual, organization, group, association, partnership, corporation, trust, limited-liability company, and combination of the foregoing, however formed, as well as any and all other entities, however formed.
  10. “Professional fundraiser” means any person who directly or indirectly for compensation or other consideration plans, manages, conducts, carries on, or assists in connection with a solicitation for charitable purposes or individually solicits or who or that employs or otherwise engages on any basis another person to solicit for or on behalf of any charitable organization, or who or that engages in the business of, or holds himself, herself, or itself out to persons as independently engaged in the business of soliciting for the charitable purpose. Bona fide volunteers or employees of a charitable organization or fundraising counsel shall not be deemed a professional fundraiser.
  11. “Professional solicitor” means any person who is employed or retained for compensation by a professional fundraiser to solicit contributions for charitable purposes. Bona fide employees of a charitable organization or fundraising counsel shall not be deemed professional solicitors.
  12. “Senior-level executive employee” means any employee of a charitable organization whose compensation is in excess of the amount specified as requiring disclosure on United States Internal Revenue Service Form 990 (or the appropriate successor form by whatever name or number it may be called or designated).
    1. “Solicit” and “solicitation” means to appeal or request, directly or indirectly, whether express or implied, for money, credit, property, financial assistance, or any other thing of value by means of mail, personal contact, written material, radio, telephone, television, news media, magazines or other periodicals, or any other means of plea or representation that the money, credit, property, financial assistance, or other thing of value will be used for a charitable purpose.
    2. Solicitation is deemed to have taken place when the appeal or request is made, whether or not the person making the appeal or request receives any contributions.

History of Section. P.L. 1999, ch. 152, § 2.

Comparative Legislation.

Charitable solicitation:

Conn. Gen. Stat. § 21a-175 et seq.

Collateral References.

Lack of consideration as barring enforcement of promise to make charitable contribution or subscription—modern cases. 86 A.L.R.4th 241.

5-53.1-2. Registration of charitable organizations.

  1. Every charitable organization, except as otherwise provided in § 5-53.1-3 , that acts, operates, transacts business in this state, or intends to solicit contributions from persons in this state by any means whatsoever, shall, prior to any solicitation, file with the director upon forms prescribed by the department, the following information:
    1. The name of the charitable organization and the name or names under which it intends to solicit contributions;
    2. The names and addresses where each can regularly be found of the officers, directors, trustees, partners, and senior-level executive employees and, for a limited-liability company or limited-liability partnership, also the members, partners, and managers, for the charitable organization, as the case may be, as well as the person or persons responsible for the day-to-day operations of the charitable organization;
    3. The addresses of the charitable organization and the addresses of any offices in this state. If the charitable organization does not maintain an office, the name and address of the person having custody of its financial records;
    4. Where and when the charitable organization was established, the form of its organization, and its tax-exempt status, if any, issued by the United States Internal Revenue Service;
    5. A general description of all the uses for which the contribution to be solicited will be applied;
    6. The date on which the fiscal year of the charitable organization ends;
    7. Whether the charitable organization is authorized by any other governmental agency to solicit contributions and whether it or any of its present officers, directors, members (if a limited-liability company), trustees, partners, or the senior level executive employees are or have ever been enjoined by any court from soliciting contributions or have been found by a final judgment to have engaged in unlawful practices regarding solicitation of contributions or administration of charitable assets and whether its registration or license has been suspended or canceled by any governmental agency together with the reasons for the suspension or cancellation;
    8. The names and addresses of any professional fundraisers or fundraising counsels who are acting or have agreed to act in this state on behalf of the charitable organization along with a copy of the contract for the services;
    9. The charitable organization’s most recent annual report, if any, in accordance with the requirements of § 5-53.1-4 ;
    10. The names and addresses of any chapters, branches, affiliates, or other organizations that, during the immediately preceding fiscal year of the charitable organization, share the contributions or other revenue raised in this state. Provided, that any contribution to another organization that is merely transferred by or through a United Way, a federated fund, or an incorporated community appeal, which transferee organization is selected by the donor, does not need to be included;
    11. The percentage of contributions received in the immediately preceding fiscal year that was spent for fundraising and for administration;
    12. A listing of the names and the compensation of the charitable organization’s five (5) most highly compensated individuals in excess of the amount specified as requiring disclosure on United States Internal Revenue Service (IRS) Form 990 (or the appropriate successor form by whatever name or number it may be called or designated), including, without limitation, directors, officers, members (if a limited-liability company), trustees, partners, employees, or agents, for the immediately preceding fiscal year, and the total number of individuals, including, without limitation, directors, officers, members (if a limited-liability company), trustees, partners, employees, and agents of the charitable organization, earning annual compensation in excess of the amount referred to above for the immediately preceding fiscal year;
    13. Whether any director, officer, member (if a limited-liability company), trustee, partner, employee, or agent or senior-level executive employee of the charitable organization has been convicted of a felony, or pled nolo contendere to a felony charge, or is held liable in a civil action by final judgment if the felony or civil action involved fraud, embezzlement, fraudulent conversion, or misappropriation of property.
  2. A charitable organization shall be deemed to have met the filing requirements in this section by submitting a copy or duplicate original of IRS Form 990 (or the appropriate successor form by whatever name it may be called); provided, that the organization responds to subsections (a)(3), (a)(7), (a)(8), (a)(11), and (a)(13) of this section.
  3. The registration form shall be signed under penalty of perjury by two (2) authorized officials of the charitable organization, one of whom shall be a director or trustee.
  4. For filing the registration, the department shall receive a fee of ninety dollars ($90.00), to be paid at the time of registration.
  5. Registration under this section shall expire one year following the approval of the application by the department, unless the director prescribes a different period by rule or order. Re-registration shall also be for a similar period of one year and may be effected by filing an application on forms prescribed by the director no later than thirty (30) days prior to the expiration of the prior registration.
  6. Every registered charitable organization shall notify the director within thirty (30) days of any material change, of which it has actual knowledge, in the information required to be furnished by the charitable organization under this section. For the purposes of this section, the requirement to notify the director of a material change applies only with respect to subsections (a)(1), (a)(3), (a)(4), (a)(5), (a)(6), (a)(7), (a)(8), (a)(9), and (a)(13) of this section.
  7. Registration statements, financial reports, professional fundraisers’ contracts, and all other documents required to be filed pursuant to this chapter shall become public records in the office of the director, except as may be otherwise specifically prohibited by this chapter or by the provisions of chapter 2 of title 38.
  8. No charitable organization, professional fundraiser, or fundraising counsel shall use or exploit the fact of registration, in any manner whatsoever, so as to lead the public to believe that registration in any manner constitutes an endorsement or approval by the state.
  9. The department may enter into reciprocal agreements with the appropriate authorities of any other state or the United States for the purpose of exchanging complaint and investigative information under this chapter.

History of Section. P.L. 1999, ch. 152, § 2; P.L. 2001, ch. 115, § 1; P.L. 2009, ch. 68, art. 12, § 4.

5-53.1-3. Certain persons exempted.

  1. The following persons shall not be required to file a registration statement with the department:
    1. Educational institutions, including parent-teacher associations, the curricula of which in whole or in part are registered or approved by a governmental agency as well as all other educational institutions within this state recognized or certified as educational institutions by a generally recognized and accepted regional or national educational accrediting organization.
    2. Persons requesting any contributions for the relief of any individual, specified by name at the time of the solicitation, if all of the contributions collected, without any deductions whatsoever, are turned over to the named beneficiary.
      1. Any charitable organization that does not intend to solicit and receive and does not actually raise or receive contributions in excess of twenty-five thousand dollars ($25,000) during a fiscal year of the charitable organization, provided none of its fundraising functions are carried on by professional fundraisers and no part of its assets or income inures to the benefit of or is paid to any officer, director, member (if a limited-liability company), trustee, partner, or member of the charitable organization.
      2. For the purpose of this subdivision, contributions received from corporations, charitable foundations, government agencies, or a duly registered federated fund, incorporated community appeal, or United Way, shall not be included in determining the total amount of contributions received.
      3. If, during the fiscal year of any charitable organization, the gross contributions received by the charitable organization during that fiscal year exceed twenty-five thousand dollars ($25,000), it shall, within thirty (30) days after the date it shall have received total contributions in excess of twenty-five thousand dollars ($25,000), register with the director as required by § 5-53.1-2 .
    3. Organizations that solicit only from their own membership. The term “membership” shall not include those persons who are granted a membership upon making a contribution as the result of a solicitation.
    4. Persons soliciting contributions solely from corporations, charitable foundations, or governmental agencies.
    5. Foundations or associations exclusively for the benefit of religious organizations, education institutions, nonprofit or charitable hospitals, and public libraries.
    6. Hospitals that are nonprofit and charitable.
    7. Veterans’ organizations and their auxiliaries so long as the veterans’ organizations are chartered under chapter 6 of title 7.
    8. Public libraries.
    9. Historical societies duly organized under the laws of this state.
    10. Free, not-for-profit, public art museums.
    11. Grange organizations and their auxiliaries.
    12. Churches or recognized denominations and religious organizations, societies, and institutions operated, supervised, or controlled by a religious organization or society that solicit from other than their own membership. Institutions indirectly or affiliated with but that are not operated, supervised, or controlled by any religious organizations or religious society that own, maintain, and operate homes for the aged, orphanages, and homes for unwed mothers.
    13. Volunteer fire and rescue associations.
    14. Land trusts duly organized under the laws of this state.
    15. Not-for-profit and nonprofit food banks or food pantries; provided, however, the Rhode Island community food bank shall not be included within this classification.
  2. Any charitable organization claiming to be exempt from the registration requirements of this chapter shall submit any information that the director may request to substantiate an exemption under this section.

History of Section. P.L. 1999, ch. 152, § 2; P.L. 2009, ch. 57, § 1; P.L. 2009, ch. 80, § 1; P.L. 2022, ch. 131, § 1, effective June 21, 2022; P.L. 2022, ch. 132, § 1, effective June 21, 2022.

Compiler's Notes.

P.L. 2022, ch. 131, § 1, and P.L. 2022, ch. 132, § 1 enacted identical amendments to this section.

5-53.1-4. Reports and records of registered charitable organizations.

  1. Every charitable organization registered pursuant to § 5-53.1-2 shall file with the director a copy of the annual financial statement of the organization audited by an independent certified public accountant for the organization’s immediately preceding fiscal year, or a copy of a financial statement audited by an independent certified public accountant covering, in a consolidated report, complete information as to all the preceding year’s fundraising activities of the charitable organization, showing kind and amount of funds raised, costs and expenses incidental thereto, and allocation or disbursements of funds raised. Charitable organizations having annual gross income of five hundred thousand dollars ($500,000) or less shall be considered to have met the financial requirements of this section by providing either an IRS Form 990 or the following financial statements for the immediately preceding fiscal year compiled by an independent public or certified accountant:
    1. Statement of activities; and
    2. Statement of financial position.
  2. The director may require audited, annual financial statements of charitable organizations with budgets of five hundred thousand dollars ($500,000) or less when the director has reasonable cause to believe that a violation of this chapter has occurred.
  3. Any charitable organization registered pursuant to § 5-53.1-2 that is the parent organization of one or more affiliates within the state, may comply with the reporting requirements of subsection (a) of this section by filing a combined, written report upon forms prescribed by the director.
  4. As used in this section, the term “affiliate” includes any chapter, branch, auxiliary, or other subordinated unit of any registered charitable organization, however designated, whose policies, fundraising activities, and expenditures are supervised or controlled by the parent.
  5. There shall be appended to each combined report a schedule, containing the information that may be prescribed by the director reflecting the activities of each affiliate, that shall contain a certification, under penalty of perjury, by an official of the organization, certifying that the information contained therein is true.
  6. The failure of a parent organization to file an appropriate combined, written report shall not excuse either the parent organization or its affiliates from complying with the provisions of subsection (a) of this section.
  7. A combined report filed pursuant to this section shall be accompanied by a fee of seventy-five dollars ($75.00) plus seventy-five dollars ($75.00) for each organization included in the report.
  8. The director may accept a copy of a current annual report previously filed by a charitable organization with any other governmental agency in compliance with the provisions of this chapter; provided, that the report filed with the other governmental agency shall be substantially similar in content to the report required by this section.
  9. The due date on which to submit financial information (IRS Form 990 or audited annual financial statements) shall initially be extended until the IRS due date, and then until the IRS extension dates, as necessary. For the initial request, the registrant shall submit to the department an extension request letter with the annual registration form stating the IRS due date. For any further extensions, the registrant shall submit an additional letter or a copy of the IRS request for an extension form. The extensions apply to Form 990, the annual audited financial statement, and any other information referred to in § 5-53.1-2(a)(9) , (11) and (12). With respect to organizations that submit compiled financial statements referred to in subsection (a) of this section, extensions will be granted upon written request, totaling not more than six (6) months.

History of Section. P.L. 1999, ch. 152, § 2; P.L. 2002, ch. 207, § 1.

5-53.1-5. Books and records.

Every charitable organization registered or required to register pursuant to § 5-53.1-2 shall keep and maintain books, records, and reports for at least three (3) years after the end of the period of registration to which they relate that shall, upon reasonable advance written notice, be available for inspection at the principal office of the organization, by the director; provided, that the organization shall not be required to make available the names and addresses of members and donors, except with their consent or through legal process where good cause has been shown by the director to question the organization’s compliance with this chapter and access to the information is necessary to determine compliance. Nothing contained in this section shall be construed to limit an organization’s ability to challenge the process on constitutional grounds.

History of Section. P.L. 1999, ch. 152, § 2.

5-53.1-6. Nonresident charitable organizations; designation of director as agent for service of process; service of process.

  1. Any charitable organization having its principal place of business outside of this state or organized under the laws of a foreign state and that solicits contributions from persons in this state, shall be deemed to have irrevocably appointed the director as its agent upon whom may be served any summons, subpoena, subpoena duces tecum, or other process directed to the charitable organization, or any partner, principal, officer, member (if a limited-liability company), trustee, or director thereof, with the same effect as if the charitable organization existed in this state.
  2. Whenever lawful process is served upon the director, the director shall forward a copy of the process served on him or her by mail, postpaid, directed to the charitable organization. For each copy of the process served the director shall collect, for the use of the state, the sum of five dollars ($5.00), which shall be paid by the plaintiff at the time of service.

History of Section. P.L. 1999, ch. 152, § 2.

5-53.1-7. Prohibited activity.

In addition to any other violations of this chapter no person shall:

  1. Make any material statement that is untrue in an application for registration, registration statement, or written annual report; or fail to disclose a material fact in an application for registration, registration statement, or written annual report;
  2. Engage in any fraudulent or illegal act, device, scheme, artifice to defraud or for obtaining money or property by means of false pretenses, representation or promise, transaction, or enterprise in connection with any solicitation for charitable purposes, any solicitation or collection of funds or other property for a charitable organization, or with the registration, reporting, and disclosure provisions of this chapter;
  3. Fail to apply contributions in a manner substantially consistent with the stated solicitation statement created pursuant to § 5-53.1-12 and/or with the § 5-53.1-2(a)(5) registration statement of the charitable organization;
  4. Knowingly, or with reason to know, enter into any contract or agreement with or employ any unregistered professional fundraiser, fundraising counsel, or professional solicitor;
  5. Enter into any contract or agreement with or raise any funds for any charitable organization required to be registered pursuant to this chapter knowing or with reason to know that the charitable organization is not duly registered;
  6. Fail to file as required by this chapter any fundraising contract, or any other documents;
  7. Represent in any manner whatsoever that registration constitutes an endorsement or approval by the state;
  8. Solicit contributions for charitable purposes without either:
    1. Being a registered charitable organization, if required to be registered;
    2. Having a written contract or agreement with a charitable organization or registered charitable organization if required to be registered, authorizing solicitation on its behalf; or
    3. Being bona fide employees or volunteers of a charitable organization;
  9. Act as or enter into any contract as a professional fundraiser, fundraising counsel, or professional solicitor without having registered;
  10. Fail to maintain books and records or refuse or fail after receiving written notice by mail, to produce any books and records in accordance with § 5-53.1-5 and as otherwise required by this chapter;
  11. Knowingly and intentionally use in the course of soliciting contributions for or on behalf of a charitable organization a name, symbol, or service mark so closely related or similar to that used by another established charitable organization that the use would tend to confuse or mislead the public; or
  12. Solicit contributions on behalf of any veterans’ organization that is not chartered under chapter 6 of title 7.

History of Section. P.L. 1999, ch. 152, § 2.

5-53.1-8. Professional fundraisers and fundraising counsel.

  1. No person shall act, operate, or transact business as a professional fundraiser or fundraising counsel in this state before he, she, or it has registered with the director or after the expiration or cancellation of such registration. Applications for registration and re-registration shall be in writing, under oath and penalty of perjury, in the form prescribed by the director and shall be accompanied by an annual fee in the sum of two hundred forty dollars ($240). A professional fundraiser who has access or the ability to access or control funds that are being solicited shall at the time of making application for registration or re-registration, file with, and have approved by, the director a bond. In the bond, the filer shall be the principal obligor, in the sum of ten thousand dollars ($10,000), with one or more sureties whose liability in the aggregate as sureties will at least equal that sum. The bond, which may be in the form of a rider to a larger blanket liability bond, shall run to the director for the use of the state and to any person who may have a cause of action against the obligor of the bond for any malfeasance or misfeasance in the conduct of the solicitation. Registration or re-registration when effected shall be for a period of one year, or a part thereof, expiring on the thirtieth (30th) day of June. An application for re-registration shall be filed no more than thirty (30) days prior to the expiration of the registration. Applications for registration and re-registration and bonds, when filed with the director, shall become public records in the office of the director. If there is any material change in the information provided in any application for registration and re-registration, the applicant or registrant shall notify the director, in writing, within twenty (20) days of the change.
  2. A professional fundraiser and fundraising counsel shall maintain accurate and current books and records of all activities while required to be registered under subsection (a); and, until at least three (3) years shall have elapsed after the end of the effective period of the registration to which they relate, the books and records shall be maintained in an office available for inspection and examination by the director; provided, that any books and records obtained by the director shall not be available to the public for inspection. The professional fundraiser or fundraising counsel shall not be required to make available to the director the names and addresses of members and donors, except with their consent or the consent of the organization or through legal process where good cause has been shown by the director to question compliance with this chapter and access to the information is necessary to determine compliance. Nothing contained in this section shall be construed to limit an organization’s ability to challenge the process on constitutional grounds.

History of Section. P.L. 1999, ch. 152, § 2; P.L. 2009, ch. 68, art. 12, § 4.

5-53.1-9. Contracts of professional fundraisers and fundraising counsel.

  1. No person shall act as a professional fundraiser or fundraising counsel before he, she, or it has a written contract with the charitable organization. A true and correct copy of each contract entered into between a professional fundraiser or fundraising counsel and a charitable organization shall be filed by the professional fundraiser or fundraising counsel who is a party to the contract with the director within ten (10) days after it is signed. True and correct copies of the contracts shall be kept on file in the offices of the charitable organization and the professional fundraiser or fundraising counsel during the term of the contract and until the expiration of a period of three (3) years subsequent to the date the solicitation of contributions provided for in the contract actually terminates.
  2. Every contract between a professional fundraiser and a charitable organization shall contain or shall be deemed to contain a provision that within five (5) days of receipt all funds received from solicitation shall be deposited in a bank account in the sole name of the charitable organization or shall be delivered to the organization for deposit.

History of Section. P.L. 1999, ch. 152, § 2.

5-53.1-10. Professional solicitor.

No person shall act as a professional solicitor in the employ of a professional fundraiser required to register pursuant to § 5-53.1-8 before he or she has registered with the director or after the expiration or cancellation of the registration. Applications for registration and re-registration shall be in writing, under oath, in the form prescribed by the director. Registration or re-registration, when effected, shall be for a period of one year, or a part thereof, expiring on the thirtieth (30th) day of June. An application for re-registration shall be filed thirty (30) days prior to the expiration of the registration. Applications for registration and re-registration, when filed with the director, shall become public records in the office of the director.

History of Section. P.L. 1999, ch. 152, § 2.

5-53.1-11. Nonresident professional fundraisers, fundraising counsel, and professional solicitors; designation of director as agent for service of process; service of process.

  1. Any professional fundraiser, fundraising counsel, or professional solicitor having his, her, or its principal place of business outside of this state or organized under the laws of a foreign state, who or that shall solicit contributions or act as a fundraising counsel in this state shall be deemed to have irrevocably appointed the director as his, her, or its agent upon whom may be served any summons, subpoena, subpoena duces tecum, or other process directed to the professional fundraiser, fundraising counsel, or professional solicitor or any partner, principal, officer, member, trustee, or director thereof, with the same effect as if the professional fundraiser, fundraising counsel, or professional solicitor existed in this state.
  2. Whenever lawful process shall be served upon the director, the director shall forward a copy of the process served on him or her by mail, postpaid, directed to the professional fundraiser, fundraising counsel, or professional solicitor. For each copy of the process served the director shall collect, for the use of the state, the sum of five dollars ($5.00), which shall be paid by the plaintiff at the time of service.

History of Section. P.L. 1999, ch. 152, § 2.

5-53.1-12. Solicitation.

  1. Any written solicitation used by or on behalf of any charitable organization shall provide a description of the programs and activities for which it has expended or will expend contributions it receives from the solicitation or shall include therein a statement that, upon written request to a specified person at the charitable organization, a person may obtain from the charitable organization a description. In addition, any written solicitation shall state in clear and unambiguous language whether or not contributions are deductible for federal income tax purposes in accordance with applicable law. The requirements of this section shall be satisfied by written notice to the donor or prospective donor. This written notice requirement shall be deemed satisfied if made once during the solicitation process, including at the time of confirmation of receipt of any contribution.
  2. If any charitable organization solicits contributions for or makes contributions through a solicitation to another organization that is not its affiliate as defined in § 5-53.1-4 , the written solicitation shall include a statement that the contributions have been made and that a list of all organizations that have received contributions from the soliciting organization during the most recently completed fiscal year of the charitable organization for which information is required to be filed in accordance with § 5-53.1-2 may be obtained from that organization. A United Way, federated fund, or incorporated community appeal, by or through which a donation is merely transferred to another organization selected by the donor, does not need to include the donor-selected transferee organizations in the list. The requirements of this section shall be satisfied by a written-notice to the donor or prospective donor. This written-notice requirement shall be deemed satisfied if made once during the solicitation process, including at the time of confirmation of receipt of any contribution.
  3. A charitable organization shall comply with all requests made pursuant to subsections (a) and (b) of this section within fifteen (15) days of their receipt.

History of Section. P.L. 1999, ch. 152, § 2.

5-53.1-12.1. Solicitation — Requirements.

Prior to orally requesting a contribution, or contemporaneously with a written request for a contribution, the following shall be clearly and conspicuously disclosed:

  1. The name of the professional solicitor and professional fundraiser, and the fact that the solicitation is being conducted by a professional solicitor.
  2. If requested by the prospective donor, the percentage of the contribution to be retained by the professional fundraiser.

History of Section. P.L. 2006, ch. 626, § 1.

5-53.1-13. Unauthorized use of names when soliciting or collecting contributions.

  1. No person shall, for the purpose of soliciting contributions from persons in this state, use the name of any other person, as one who has sponsored or endorsed the charitable organization or its activities without the written consent of that other person.
  2. A person shall be deemed to have used the name of another person for the purpose of soliciting contributions if: (1) The latter person’s name is listed or referred to on any stationery, advertisement, brochure, or correspondence in or by which a contribution is solicited by or on behalf of a charitable organization in connection with a request for a contribution; and (2) The latter person’s name is listed or referred to as one who has financially contributed to, or has expressly sponsored or endorsed the charitable organization or its activities. This section does not apply to the bona fide listing of the organization’s staff, committees, or board of directors.
  3. Nothing contained in this section shall prevent the publication of names of contributors without their written consent, in an annual or other periodic report issued by a charitable organization for the purpose of reporting on its operations and affairs to its membership or for the purpose of reporting contributions to contributors.

History of Section. P.L. 1999, ch. 152, § 2.

5-53.1-14. Enforcement and penalties — Director.

  1. Whenever the department, upon its own motion or upon complaint of any person, has reason to believe that any person is violating any of the provisions of this chapter, it may, if warranted, take any of the following actions:
    1. Revoke, suspend, or deny a registration of a charitable organization or professional fundraiser or professional solicitor or fundraising counsel;
    2. Assess an administrative fine against the violator of up to one thousand dollars ($1,000) for each act or omission constituting a violation; provided, that in determining the amount of the fine to be assessed, the director shall take into account factors like the nature and severity of the violation and the willfulness of the violation;
    3. Issue an order to that person commanding them to appear before the department at a hearing to be held not sooner than ten (10) days nor later than twenty (20) days after issuance of the order to show cause why the department should not issue an order to the person to cease and desist from the violation of the provisions of this chapter. An order to show cause may be served on any person by any person by mailing a copy of the order to the person at any address at which that person had done business or at which the person may live. If upon the hearing the department is satisfied that the person is in fact violating any provision of this chapter, then the department shall order that person, in writing, to cease and desist from the violation. At any hearing, the department shall not be bound by common law rules of evidence, but may receive and consider any statements, documents, and things that shall be considered by it necessary or useful in arriving at its decision. If that person thereafter fails to comply with the order of the department, the superior court for Providence County shall have jurisdiction upon the complaint of the department to restrain and enjoin that person from violating this chapter. The findings and order of the department shall constitute prima facie evidence that the person ordered by the department to cease and desist has violated the provisions of this chapter. The attorney general shall afford the department any necessary assistance in obtaining relief in the superior court.
  2. The director shall, before denying, revoking or suspending any registration or assessing a civil penalty, notify the applicant or registrant in writing and provide an opportunity for hearing in accordance with the provisions of the administrative procedures act, chapter 35 of title 42, and in accordance with other rules and regulations that the director may promulgate to effectuate the purposes of this chapter. Any person who has exhausted all administrative remedies available to him or her and who is aggrieved by a final decision of the department shall be entitled to judicial review in accordance with the provisions of the administrative procedures act, chapter 35 of title 42. The written notice may be served by personal delivery to the person or by regular mail to his, her, or its last-known business address. A hearing must be requested within thirty (30) days of receipt of the notice from the director or shall be automatically waived. Any hearing shall be held within thirty (30) days of the receipt of the request by the director, at a time and place that the director shall prescribe. The director or the director’s designee may issue subpoenas in accordance with the laws of Rhode Island, compel the attendance of witnesses at the hearing, administer oaths, take proof, and make determinations of relevant facts. The respondent may appear at the hearing and may cross-examine all witnesses and produce evidence on his, her, or its behalf. The director or the director’s designee shall not be bound by the rules of evidence during the conduct of the hearing. A final determination shall be made by the director or the director’s designee.

History of Section. P.L. 1999, ch. 152, § 2.

5-53.1-15. Enforcement — Attorney general.

  1. Any person who willfully and knowingly violates any provisions of this chapter is guilty of a misdemeanor, and, upon conviction, shall be sentenced for the first offense to pay a fine of not more than one thousand dollars ($1,000) or undergo imprisonment for not more than one year, or both, and for the second and any subsequent offense to pay a fine of not more than five thousand dollars ($5,000) or to undergo imprisonment for not more than five (5) years, or both.
  2. Whenever the attorney general has reason to believe or the attorney general has been advised by the director (who shall have given due notice and full hearing to the person) that the person is in violation of the provisions of this chapter, in addition to all other actions authorized by law, the attorney general may bring an action in the name of the state against that person to enjoin the person from continuing the violation or doing any acts in furtherance of the violation and for any other relief that the court deems appropriate. The court may make additional orders and/or judgments as may be necessary to restore to any person in interest any monies or property, real or personal, that may have been acquired by means of any practice found to be in violation of this chapter.

History of Section. P.L. 1999, ch. 152, § 2.

5-53.1-16. Payment of fees.

All fees, required to be paid pursuant to this chapter, shall be paid to the state treasurer.

History of Section. P.L. 1999, ch. 152, § 2.

5-53.1-17. Rules and regulations.

The director may promulgate rules and regulations necessary to effectuate the purposes of this chapter.

History of Section. P.L. 1999, ch. 152, § 2.

5-53.1-18. Severability.

If any provision of this chapter or the application of any provision to any person or circumstance is for any reason held invalid, the remainder of the chapter and the application of that provision to other persons or circumstances shall not be affected by that invalidity.

History of Section. P.L. 1999, ch. 152, § 2.

Chapter 54 Physician Assistants

5-54-1. Declaration of policy.

  1. The general assembly intends to establish by this chapter a framework for a category of health personnel to be known as the physician assistant.
  2. The purpose of this chapter is to provide for an adequate supply of qualified medical providers to meet the needs of the citizens of Rhode Island and protect the public safety by establishing criteria for licensure and regulation of physician assistants.
  3. Nothing in this chapter shall be construed to repeal or supersede existing laws relating to other paramedical professions or services.

History of Section. P.L. 1976, ch. 274, § 1; P.L. 1982, ch. 94, § 1; P.L. 1991, ch. 72, § 1; P.L. 1991, ch. 358, § 1; P.L. 2019, ch. 197, § 1; P.L. 2019, ch. 230, § 1.

Compiler’s Notes.

P.L. 2019, ch. 197, § 1, and P.L. 2019, ch. 230, § 1 enacted identical amendments to this section.

Comparative Legislation.

Physician assistants:

Conn. Gen. Stat. § 20-12a et seq.

5-54-2. Definitions.

As used in this chapter, the following words have the following meanings:

  1. “Administrator” means the administrator, division of professional regulation.
  2. “Approved program” means a program for the education and training of physician assistants formally approved by the American Medical Association’s (A.M.A.’s) Committee on Allied Health, Education and Accreditation, its successor, the Commission on Accreditation of Allied Health Education Programs (CAAHEP) or its successor.
  3. “Approved program for continuing medical education” means a program for continuing education approved by the American Academy of Physician Assistants (AAPA) or the Accreditation Council for Continuing Medical Education of the American Medical Association (AMA), or the American Academy of Family Physicians (AAPFP) or the American Osteopathic Association Committee on Continuing Medical Education (AOACCME) or any other board-approved program.
  4. “Board” means the board of licensure of physician assistants.
  5. “Collaboration” means the physician assistant shall, as indicated by the patient’s condition, the education, competencies, and experience of the physician assistant, and the standards of care, consult with or refer to an appropriate physician or other healthcare professional. The degree of collaboration shall be determined by the practice and includes decisions made by a physician employer, physician group practice, and the credentialing and privileging systems of a licensed hospital, health center, or ambulatory care center. A physician must be accessible at all times for consultation by the physician assistant.
  6. “Director” means the director of the department of health.
  7. “Division” means the division of professional regulation, department of health.
  8. [Deleted by P.L. 2013, ch. 320, § 1 and P.L. 2013, ch. 420, § 1.]
  9. “Physician” means a person licensed under the provisions of chapter 29 or 37 of this title.
  10. “Physician assistant” or “PA” means a person who is qualified by academic and practical training to provide medical and surgical services in collaboration with physicians.
  11. “Unprofessional conduct” includes, but is not limited to, the following items or any combination and may be defined by regulations established by the board with prior approval of the director:
    1. Fraudulent or deceptive procuring or use of a license;
    2. Representation of himself or herself as a physician;
    3. Conviction of a felony; conviction of a crime arising out of the practice of medicine. All advertising of medical business that is intended or has a tendency to deceive the public;
    4. Abandonment of a patient;
    5. Dependence upon a controlled substance, habitual drunkenness, or rendering professional services to a patient while intoxicated or incapacitated by the use of drugs;
    6. Promotion of the sale of drugs, devices, appliances, or goods or services provided for a patient in a manner that exploits the patient for the financial gain of the physician assistant;
    7. Immoral conduct of a physician assistant in the practice of medicine;
    8. Willfully making and filing false reports or records;
    9. Willful omission to file or record or willfully impeding or obstructing a filing or recording, or inducing another person to omit to file or record medical or other reports as required by law;
    10. Agreeing with clinical or bioanalytical laboratories to accept payments from these laboratories for individual tests or test series for patients;
    11. Practicing with an unlicensed physician or physician assistant or aiding or abetting these unlicensed persons in the practice of medicine;
    12. Offering, undertaking, or agreeing to cure or treat a disease by a secret method, procedure, treatment, or medicine;
    13. Professional or mental incompetence;
    14. Surrender, revocation, suspension, limitation of privilege based on quality of care provided, or any other disciplinary action against a license or authorization to practice in another state or jurisdiction; or surrender, revocation, suspension, or any other disciplinary action relating to membership on any medical staff or in any medical professional association, or society while under disciplinary investigation by any of those authorities or bodies for acts or conduct similar to acts or conduct that would constitute grounds for action as stated in this chapter;
    15. Any adverse judgment, settlement, or award arising from a medical liability claim related to acts or conduct that would constitute grounds for action as stated in this chapter;
    16. Failure to furnish the board, the administrator, investigator, or representatives, information legally requested by the board;
    17. Violation of any provisions of this chapter or the rules and regulations promulgated by the director or an action, stipulation, or agreement of the board;
    18. Cheating or attempting to subvert the certifying examination;
    19. Violating any state or federal law or regulation relating to controlled substances;
    20. Medical malpractice;
    21. Sexual contact between a physician assistant and patient during the existence of the physician assistant/patient relationship;
    22. Providing services to a person who is making a claim as a result of a personal injury, who charges or collects from the person any amount in excess of the reimbursement to the physician assistant by the insurer as a condition of providing or continuing to provide services or treatment.

History of Section. P.L. 1976, ch. 274, § 1; P.L. 1982, ch. 94, § 1; P.L. 1988, ch. 150, § 1; P.L. 1991, ch. 72, § 1; P.L. 1991, ch. 358, § 1; P.L. 1995, ch. 42, § 1; P.L. 1996, ch. 353, § 1; P.L. 1998, ch. 364, § 1; P.L. 1999, ch. 465, § 8; P.L. 2004, ch. 119, § 1; P.L. 2004, ch. 152, § 1; P.L. 2013, ch. 320, § 1; P.L. 2013, ch. 420, § 1; P.L. 2019, ch. 197, § 1; P.L. 2019, ch. 230, § 1; P.L. 2021, ch. 400, § 15, effective July 13, 2021; P.L. 2021, ch. 401, § 15, effective July 13, 2021.

Compiler’s Notes.

P.L. 2019, ch. 197, § 1, and P.L. 2019, ch. 230, § 1 enacted identical amendments to this section.

P.L. 2021, ch. 400, § 15, and P.L. 2021, ch. 401, § 15 enacted identical amendments to this section.

5-54-3. Exemptions.

The provisions of this chapter do not apply to services performed in any of the following areas:

  1. The practice of dentistry or dental hygiene as defined in chapter 31.1 of this title.
  2. The practice of chiropractic medicine.
  3. The practice of optometry as defined in chapter 35 of this title.
  4. A physician assistant student enrolled in a physician assistant educational program while performing duties in conjunction with a formal training program clinical rotation under the auspices of a recognized degree-granting institution.
  5. Technicians or other assistants or employees of physicians who perform delegated tasks in the office of a physician but who are not rendering services as a physician assistant or identifying themselves as a physician assistant.

History of Section. P.L. 1976, ch. 274, § 1; P.L. 1982, ch. 94, § 1; P.L. 1991, ch. 72, § 1; P.L. 1991, ch. 358, § 1; P.L. 1995, ch. 42, § 1; P.L. 2019, ch. 197, § 1; P.L. 2019, ch. 230, § 1.

Compiler’s Notes.

P.L. 2019, ch. 197, § 1, and P.L. 2019, ch. 230, § 1 enacted identical amendments to this section.

5-54-4. Board of licensure — Creation.

Within the division of professional regulation established in the department of health pursuant to chapter 26 of this title there is a board of licensure for physician assistants as provided by §§ 5-54-5 5-54-7 .

History of Section. P.L. 1976, ch. 274, § 1; P.L. 1982, ch. 94, § 1; P.L. 1995, ch. 42, § 1.

5-54-5. Board of licensure.

  1. The director of the department of health, with the approval of the governor, shall appoint a board consisting of seven (7) persons, residents of the state, to constitute a board of licensure for physician assistants with the duties, powers, and authority as stated in this chapter, and that board shall be composed of the following:
    1. Two (2) members shall be licensed physicians under the provisions of chapter 37 of this title who have been actively engaged in the practice of medicine;
    2. [Deleted by P.L. 2019, ch. 197, § 1 and P.L. 2019, ch. 230, § 1].
    3. Two (2) members who are representatives of the general public not employed in any health-related field; and
    4. Three (3) members shall be physician assistants.
  2. Members shall be appointed for terms of three (3) years each with no member serving more than two (2) consecutive terms.
  3. In his or her initial appointment, the director shall designate the members of the board of licensure for physician assistants as follows: two (2) members to serve for terms of three (3) years; two (2) members to serve for a term of two (2) years; and three (3) members to serve for a term of one year. Any additional appointments shall serve for one year.
  4. The director of the department of health may remove any member of the board for cause.
  5. Vacancies shall be filled for the unexpired portion of any term in the same manner as the original appointment.

History of Section. P.L. 1976, ch. 274, § 1; P.L. 1982, ch. 94, § 1; P.L. 1991, ch. 72, § 1; P.L. 1991, ch. 358, § 1; P.L. 1995, ch. 42, § 1; P.L. 2000, ch. 364, § 1; P.L. 2000, ch. 516, § 1; P.L. 2004, ch. 119, § 1; P.L. 2004, ch. 152, § 1; P.L. 2019, ch. 197, § 1; P.L. 2019, ch. 230, § 1.

Compiler’s Notes.

P.L. 2019, ch. 197, § 1, and P.L. 2019, ch. 230, § 1 enacted identical amendments to this section.

Cross References.

Termination of statutory entities and licensing authorities, § 22-14-5.3 .

5-54-5.1. [Repealed.]

History of Section. P.L. 1991, ch. 72, § 2; P.L. 1991, ch. 358, § 2; Repealed by P.L. 2004, ch. 119, § 2, effective June 26, 2004; P.L. 2004, ch. 152, § 2, effective June 26, 2004.

Compiler’s Notes.

Former § 5-54-5.1 concerned the formulary committee for physician assistants.

5-54-6. Board of licensure — Organization and meetings — Compensation of members.

The board shall elect its own chairperson annually and shall meet at the call of the administrator, the chairperson, or upon the request of two (2) or more members of the board. A quorum shall consist of at least four (4) members present. The board shall approve programs for continuing medical education. Board members shall serve without compensation.

History of Section. P.L. 1976, ch. 274, § 1; P.L. 1982, ch. 94, § 1; P.L. 1995, ch. 42, § 1; P.L. 1996, ch. 353, § 1; P.L. 2019, ch. 197, § 1; P.L. 2019, ch. 230, § 1.

Compiler’s Notes.

P.L. 2019, ch. 197, § 1, and P.L. 2019, ch. 230, § 1 enacted identical amendments to this section.

5-54-7. Board of licensure — Powers and duties.

  1. The board shall administer, coordinate, and enforce the provisions of this chapter; evaluate the qualifications of applicants; supervise any examination of applicants deemed necessary; recommend to the director the commencement of disciplinary hearings in accordance with chapter 35 of title 42 and the provisions of this chapter; and investigate persons engaging in practices that violate the provisions of this chapter. This authority shall specifically encompass practicing physician assistants, collaborating physicians, and those healthcare agencies employing physician assistants. The board shall investigate all persons and agencies engaging in practices that violate the provisions in this chapter.
  2. The board shall conduct hearings of a nondisciplinary nature and shall keep the records and minutes that are necessary to an orderly dispatch of business.
  3. The board, with the approval of the director of the department of health, shall adopt rules and regulations necessary to carry into effect the provisions of this chapter and may amend or repeal them.
  4. Regular meetings of the board shall be held at any time and place that the board prescribes and special meetings shall be held upon the call of the chairperson, provided that at least one regular meeting is held each year.
  5. The conferral or enumeration of specific powers in this chapter shall not be construed as a limitation of the general powers conferred by this section.
  6. The board shall recommend to the director for registration those persons meeting the criteria stated by this chapter.
  7. The board shall recommend to the director the revocation or suspension of the license of any physician assistant who does not conform to the requirements of this chapter or regulations adopted under this chapter.
  8. In accordance with its authority under subsection (a), the board shall make recommendations to the director for discipline of supervising physicians and employing healthcare agencies found wanting in their use of physician assistants.
  9. The board shall approve programs for continuing medical education.

History of Section. P.L. 1976, ch. 274, § 1; P.L. 1982, ch. 94, § 1; P.L. 1995, ch. 42, § 1; P.L. 1996, ch. 353, § 1; P.L. 2013, ch. 320, § 1; P.L. 2013, ch. 420, § 1; P.L. 2019, ch. 197, § 1; P.L. 2019, ch. 230, § 1.

Compiler’s Notes.

P.L. 2019, ch. 197, § 1, and P.L. 2019, ch. 230, § 1 enacted identical amendments to this section.

5-54-7.1. [Repealed.]

History of Section. P.L. 1991, ch. 72, § 2; P.L. 1991, ch. 358, § 2; Repealed by P.L. 2004, ch. 119, § 2, effective June 26, 2004; P.L. 2004, ch. 152, § 2, effective June 26, 2004.

Compiler’s Notes.

Former § 5-54-7.1 concerned duties of the formulary committee for physician assistants.

5-54-8. Permitted healthcare practices by physician assistants.

  1. Physician assistants shall practice in collaboration with physicians. A physician assistant may provide any medical or surgical services that are within the physician assistant’s skills, education, and training. Whenever any provision of general or public law or regulation requires a signature, certification, stamp, verification, affidavit, or endorsement by a physician, it shall be deemed to include a signature, certification, stamp, verification, affidavit, or endorsement by a physician assistant. Physician assistants may perform those duties and responsibilities consistent with the limitations of this section, including prescribing, administering, procuring, and dispensing of drugs and medical devices. Physician assistants may request, receive, sign for, and distribute professional samples of drugs and medical devices to patients only within the limitations of this section. Notwithstanding any other provisions of law, a physician assistant may provide medical and surgical services when those services are rendered in collaboration with a licensed physician.
  2. [Deleted by P.L. 2019, ch. 197, § 1 and P.L. 2019, ch. 230, § 1].
  3. Physician assistants may write prescriptions and medical orders to the extent provided in this paragraph. When extended medical staff privileges by a licensed hospital or other licensed healthcare facility in accordance with subsection (e) of this section, a physician assistant may write medical orders for inpatients as delineated by the medical staff bylaws of the facility as well as its credentialing process and applicable governing authority. Physician assistants may prescribe legend medications including Schedule II, III, IV, and V medications under chapter 28 of title 21 of the Rhode Island uniform controlled substances act, medical therapies, medical devices, and medical diagnostics.
  4. When collaborating with a physician licensed under chapter 29 of this title, the service rendered by the physician assistant shall be limited to the foot. The “foot” is defined as the pedal extremity of the human body and its articulations, and includes the tendons and muscles of the lower leg only as they are involved in conditions of the foot.
  5. Hospitals and other licensed healthcare facilities have discretion to grant privileges to a physician assistant and to define the scope of privileges or services that a physician assistant may deliver in a facility.
  6. A physician assistant shall not undertake or represent that he or she is qualified to provide a medical or surgical care service that he or she knows or reasonably should know to be outside his or her competence or is prohibited by law.
  7. Notwithstanding any other provision of law or regulation, a physician assistant shall be considered to be a primary care provider when the physician assistant is practicing in the medical specialties required for a physician to be a primary care provider.

History of Section. P.L. 1982, ch. 94, § 2; P.L. 1991, ch. 72, § 1; P.L. 1991, ch. 358, § 1; P.L. 1992, ch. 223, § 1; P.L. 1992, ch. 346, § 1; P.L. 1995, ch. 42, § 1; P.L. 1999, ch. 42, § 1; P.L. 1999, ch. 197, § 1; P.L. 2006, ch. 130, § 2; P.L. 2006, ch. 156, § 2; P.L. 2019, ch. 197, § 1; P.L. 2019, ch. 230, § 1.

Compiler’s Notes.

P.L. 2019, ch. 197, § 1, and P.L. 2019, ch. 230, § 1 enacted identical amendments to this section.

5-54-9. Criteria for licensure as a physician assistant.

The board shall recommend to the director for licensure as a physician assistant an applicant who:

  1. Is of good character and reputation;
  2. Graduated from a physician-assistant training program certified by the AMA’s Committee on Allied Health, Education, and Accreditation, its successor, the Commission on Accreditation of Allied Health Education Programs (CAAHEP), its successor, or the Accreditation Review Commission on Education for the Physician Assistant (ARC-PA), or its successor;
  3. Passed the National Commission on Certification of Physician Assistants physician assistant national certification examination or any other national exam approved by the board;
  4. Submitted a completed application together with the required fee as set forth in § 23-1-54 .

History of Section. P.L. 1982, ch. 94, § 2; P.L. 1995, ch. 42, § 1; P.L. 2001, ch. 77, art. 14, § 21; P.L. 2007, ch. 73, art. 39, § 19; P.L. 2012, ch. 241, art. 9, § 21; P.L. 2013, ch. 70, § 1; P.L. 2013, ch. 75, § 1; P.L. 2019, ch. 197, § 1; P.L. 2019, ch. 230, § 1.

Compiler’s Notes.

P.L. 2019, ch. 197, § 1, and P.L. 2019, ch. 230, § 1 enacted identical amendments to this section.

5-54-9.1. [Repealed.]

History of Section. P.L. 1991, ch. 72, § 2; P.L. 1991, ch. 358, § 2; P.L. 1995, ch. 42, § 1; Repealed by P.L. 2011, ch. 44, § 1, effective June 6, 2011; P.L. 2011, ch. 112, § 1, effective June 27, 2011.

Compiler’s Notes.

Former § 5-54-9.1 concerned graduate practice.

5-54-10. Registration based on previous practice.

The board shall recommend to the director for registration as a physician assistant an applicant who:

  1. Is employed in this state as a physician assistant on July 1, 1982, and has successfully passed the national qualifying exam prior to July 1, 1982;
  2. No person shall represent himself or herself or be registered as a physician assistant after July 1, 1982, unless he or she has passed the certifying examination approved by the board in § 5-54-9(3) ; and
  3. Submitted a completed application with the application fee.

History of Section. P.L. 1982, ch. 94, § 2.

5-54-11. Issuance and annual renewal of certificates of licensure.

  1. The board shall recommend to the director for registration those individuals who meet the criteria for licensure as stated in this chapter. Upon that recommendation, the director shall issue a certificate of licensure as a physician assistant.
  2. The certificate of licensure shall expire biannually on the thirtieth (30th) day of June. On or before the first day of March in each year, the administrator shall mail an application for a renewal certificate to every person licensed under the provisions of this chapter, and every person who desires his or her certificate to be renewed shall file with the division the renewal application together with a renewal fee as set forth in § 23-1-54 on or before the first day of June in every other year. Upon receipt of the renewal application and payment of fee, the accuracy of the application shall be verified and the administrator shall grant a renewal certificate effective July 1st and expiring June 30th two years hence, unless the certificate is sooner suspended for cause as provided in § 5-54-12 .

History of Section. P.L. 1982, ch. 94, § 2; P.L. 1993, ch. 138, art. 71, § 11; P.L. 1995, ch. 42, § 1; P.L. 1999, ch. 42, § 1; P.L. 1999, ch. 197, § 1; P.L. 2001, ch. 77, art. 14, § 21; P.L. 2004, ch. 119, § 1; P.L. 2004, ch. 152, § 1; P.L. 2007, ch. 73, art. 39, § 19; P.L. 2012, ch. 241, art. 9, § 21.

5-54-11.1. Inactive list.

A physician assistant licensed to practice who does not intend to engage in the practice of his or her profession during any year, upon written request to the board, may have his or her name transferred to an inactive list, and shall not be required to register annually or pay any renewal as long as he or she remains inactive. Any physician assistant included in the inactive list as provided in this section shall be restored to active status by the administrator upon filing of a written request accompanied by the renewal fee.

History of Section. P.L. 1998, ch. 364, § 2.

5-54-12. Grounds for refusal to renew, suspension or revocation of certificates.

The director may, after notice and a hearing, refuse to grant, renew, suspend, or revoke any certificate of licensure or discipline any registrant upon proof that the person is guilty of unprofessional conduct as defined in § 5-54-2 .

History of Section. P.L. 1982, ch. 94, § 2; P.L. 1995, ch. 42, § 1; P.L. 1998, ch. 364, § 1.

5-54-12.1. [Repealed.]

History of Section. P.L. 1996, ch. 353, § 2; Repealed by P.L. 2019, ch. 197, § 3, effective July 15, 2019; P.L. 2019, ch. 230, § 3, effective July 15, 2019.

Compiler’s Notes.

Former § 5-54-12.1 concerned continuing medical education.

5-54-13. Procedure for discipline.

  1. When a sworn complaint is filed with the board charging a person with being guilty of any of the actions specified in § 5-54-12 , the division of professional regulation or the board shall immediately investigate those charges. In the event that investigation reveals reasonable grounds for believing that the applicant or physician assistant is guilty of the charges, and upon the recommendation of the board or the administrator, the director shall fix a time and place for a hearing, and shall cause a copy of the charges together with a notice of the time and the place fixed for the hearing to be served upon the accused at least twenty (20) days prior to the time fixed for the hearing. At the hearing, the accused has the right to appear personally or by counsel or both; to produce witnesses and evidence on his or her behalf; to cross-examine witnesses; and to have subpoenas issued by the administrator of professional regulation. The attendance of witnesses and the production of books, documents, and papers at the hearing may be compelled by subpoenas issued by the administrator which shall be served in accordance with law. At the hearing, the director or his or her designee shall administer oaths that may be necessary for the proper conduct of the hearing. The director of health or his or her designee is not bound by the strict rules of procedure or by the laws of evidence in the conduct of its proceedings but the determination shall be based upon sufficient legal evidence to sustain it. If the accused is found guilty of the charges, the director may refuse to issue a registration to the applicant or may revoke or suspend his or her certificate or discipline the person.
  2. Upon the revocation or suspension of any certificate, the holder of the certificate shall surrender the certificate to the administrator of professional regulation who shall strike the name of the holder from the register of physician assistants.

History of Section. P.L. 1982, ch. 94, § 2.

5-54-13.1. Nondisciplinary alternative.

The board may permit a licensee to enter into a nondisciplinary alternative program. All records pertaining to the physician assistant’s participation in the nondisciplinary program shall be confidential and shall not be subject to discovery, subpoena, or public disclosure.

History of Section. P.L. 1998, ch. 364, § 2; P.L. 2000, ch. 364, § 1; P.L. 2000, ch. 516, § 1.

5-54-14. Grounds for discipline without a hearing.

The director may temporarily suspend the license of a physician assistant without a hearing if the director finds that the evidence in his or her possession indicates that a physician assistant’s continuation in practice would constitute a danger to the public. In the event that the director temporarily suspends the license of a physician assistant without a hearing, a hearing by the board must be held within ten (10) days after the suspension.

History of Section. P.L. 1982, ch. 94, § 2; P.L. 1998, ch. 364, § 1.

5-54-15. Appeals from board, administrator, or director.

An appeal from any decision or order of the board, administrator of professional regulation, or director of department of health may be taken by any aggrieved party to the superior court in the manner provided for in chapter 35 of title 42.

History of Section. P.L. 1982, ch. 94, § 2.

5-54-16. Penalty for misrepresentation.

No person who is not licensed as a physician assistant may use the title of “physician assistant” or “PA” or hold himself or herself out as a physician assistant. Any person who violates the provisions of this section shall be punished by a fine of not less than two hundred dollars ($200) nor more than five hundred dollars ($500), nor more than one year imprisonment, or by both the fine and imprisonment.

History of Section. P.L. 1982, ch. 94, § 2; P.L. 1995, ch. 42, § 1; P.L. 2019, ch. 197, § 1; P.L. 2019, ch. 230, § 1.

Compiler’s Notes.

P.L. 2019, ch. 197, § 1, and P.L. 2019, ch. 230, § 1 enacted identical amendments to this section.

5-54-17. Injunction of violations.

When it appears to the director that any person is violating any of the provisions of this chapter, the director may cause an action to be instituted, commenced in the name of the board, to enjoin that violation in a court of competent jurisdiction and that court may enjoin any person, firm, corporation, or association without regard to whether proceedings have been or may be instituted before the director or whether criminal proceedings have been or may be instituted.

History of Section. P.L. 1982, ch. 94, § 2.

5-54-18. [Repealed.]

History of Section. P.L. 1982, ch. 94, § 2; Repealed by P.L. 2004, ch. 119, § 2, effective June 26, 2004; P.L. 2004, ch. 152, § 2, effective June 26, 2004.

Compiler’s Notes.

Former § 5-54-18 concerned physician assistant identification tags.

5-54-19. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1982, ch. 94, § 2; P.L. 1989, ch. 126, art. 26, § 9; P.L. 1995, ch. 370, art. 40, § 29.

5-54-20. Enforcement of chapter.

The director of the department health shall enforce the provisions of this chapter. The director or his or her authorized agents and the board shall be exempt from providing surety for costs in connection with the commencement of any legal proceedings under this chapter.

History of Section. P.L. 1982, ch. 94, § 2.

5-54-20.1. Immunity from liability for gratuitous emergency assistance.

No person licensed under the provisions of this chapter or members of the same profession licensed to practice in other states of the United States who voluntarily and gratuitously, and other than in the ordinary course of his or her employment or practice, renders emergency medical assistance to a person in need shall be liable for civil damages for any personal injuries resulting from acts or omissions by those persons in rendering the emergency care that may constitute ordinary negligence. The immunity granted by this section shall not apply to acts or omissions constituting gross, willful, wanton negligence or when the medical assistance is rendered at any hospital, physician’s office, or other healthcare delivery entity where those services are normally rendered.

History of Section. P.L. 1995, ch. 42, § 2.

5-54-21. Severability.

The provisions of this chapter are severable and if any of the provisions of this chapter are held unconstitutional by any court of competent jurisdiction, the decision of that court does not affect or impair any of the remaining provisions.

History of Section. P.L. 1982, ch. 94, § 2.

5-54-22. Continuing medical education.

Every physician assistant licensed to practice within the state shall be required to have satisfactorily completed twenty-five (25) hours of approved continuing medical education annually. The annual period for accumulation of continuing-education hours commences on the first day of October and runs through the last day of September beginning in 1996. Beginning with the annual renewal period commencing the first day of October 1997, the administrator shall not renew the certificate of licensure until satisfactory evidence of the completion of the required continuing medical education is provided to the division.

History of Section. P.L. 1998, ch. 364, § 2; P.L. 2019, ch. 197, § 1; P.L. 2019, ch. 230, § 1.

Compiler’s Notes.

P.L. 2019, ch. 197, § 1, and P.L. 2019, ch. 230, § 1 enacted identical amendments to this section.

5-54-23. Reports relating to professional conduct and capacity — Regulations — Confidentiality — Immunity.

In addition to the requirements of § 42-14-2.1 :

  1. The board, with the approval of the director, shall adopt regulations requiring any person, including, but not limited to, corporations, healthcare facilities, health-maintenance organizations, organizations and federal, state, or local governmental agencies, or peer-review boards to report to the board any: conviction, determination, or finding that a licensed physician assistant has committed unprofessional conduct as defined in § 5-54-2 , or to report information that indicates that a licensed physician assistant may not be able to practice with reasonable skill and safety to patients as the result of any mental or physical condition. The regulations shall include the reporting requirements of subsections (2)(i), (2)(ii), and (2)(iii).
  2. The following reports, in writing, shall be filed with the board:
    1. Every insurer providing professional liability insurance to a physician assistant licensed under the provisions of this chapter shall send a complete report to the board reporting any formal notice of any claim; settlement of any claim or cause of action; or final judgment rendered in any cause of action for damages for death or personal injury caused by a physician assistant’s negligence, error, or omission in practice or his or her rendering of unauthorized professional services. The report shall be sent within thirty (30) days after service of the complaint or notice, settlement, judgment, or arbitration award on the parties. All the reports shall present an in-depth, factual summary of the claim in question.
    2. All hospital and licensed healthcare facilities including, but not limited to, nursing homes and health maintenance organizations and the division of drug control must report within thirty (30) days of this action, any action, disciplinary or otherwise, taken for any reason, that limits, suspends, or revokes a physician assistant’s privilege to practice, either through formal action by the institution or facility or through any voluntary agreement with the physician assistant.
    3. Within ten (10) days after a judgment by a court of this state that a physician assistant licensed under the provisions of this chapter has been convicted of a crime or is civilly liable for any death or personal injury caused by his or her negligence, error, or omission in his or her practice or his or her rendering unauthorized professional services, the clerk of the court that rendered the judgment shall report the judgment to the board.
  3. The board shall publicly report any change of privileges, of which it is aware, to the board of trustees or other appropriate body of all licensed hospitals, licensed healthcare facilities, health-maintenance organizations, and any other parties that the board deems appropriate, within thirty (30) days; provided, that notwithstanding the provisions of this subsection, the board may, in instances where the change of privilege is not related to quality of patient care, elect not to disseminate the report of changed privileges. This election may be made in executive session and no decision not to disseminate shall be made except by the majority vote of the members present at the meeting and only upon a finding of fact by the board after inquiry that the change was not related to quality of patient care.
  4. The contents of any report file shall be confidential and exempt from public disclosure, except that it may be reviewed:
    1. By the licensee involved or his or her counsel or authorized representative who submits any additional exculpatory or explanatory statements or other information, which statements or information shall be included in the file; or
    2. By the chief administrative officer, a representative of the board, or investigator of the board, who shall be assigned to review the activities of a licensed physician assistant.
  5. Upon determination that a report is without merit, the board’s records shall be purged of information relating to the report.
  6. If any person refuses to furnish a required report, the board may petition the superior court of any county in which the person resides or is found, and the court shall issue to the person an order to furnish the required report. Any failure to obey the order shall be punished by the court as a civil contempt is punished.
  7. Every individual medical association, medical society, physician-assistant professional organization, healthcare facility, health-maintenance organization, peer-review board, medical-service bureau, health insurance carrier or agent, professional-standards review organization, and agency of the federal, state, or local government shall be immune from civil liability, whether direct or derivative, for providing information in good faith to the board pursuant to this statute or the regulations outlined in subsection (1) or requirements of subsection (2).
  8. Nondisclosure agreements shall be prohibited insofar as they forbid parties from making reports regarding competency and/or unprofessional conduct to the board.

History of Section. P.L. 1998, ch. 364, § 2.

5-54-24. Requirements relating to professional conduct.

The board shall receive and maintain a confidential file which shall be available to the board to precipitate or aid in their investigations. The information shall also be available to licensed healthcare facilities including health-maintenance organizations in connection with the granting of staff privileges and to the individual physician assistants themselves. The file shall contain the following information:

  1. Cases of malpractice suits against physician assistants as reported to the board by insurers and self-insurers;
  2. Cases of malpractice suits that result in allegations being dropped, a dismissal, a settlement, or court judgment or arbitration award adverse to the physician assistant;
  3. Reports by any hospital or state or local professional medical association/society of disciplinary action taken against any physician assistant. This should also include any resignation of a physician assistant if related to unprofessional conduct as defined in law or any withdrawal of an application for hospital privileges relating to unprofessional conduct;
  4. Reports by state and federal courts of physician assistants found guilty of a felony;
  5. Reports by professional review organizations and third-party health insurers of sanctions imposed on a physician assistant;
  6. The file may contain any other data that the board by reasonable rule or regulation deems appropriate.

History of Section. P.L. 1998, ch. 364, § 2.

5-54-25. Communication of information among healthcare facilities.

Any licensed healthcare facility, acting by and through its chief executive officer or his or her designee, may upon the request of any other licensed healthcare facility, communicate to the chief executive officer of the requesting facility or his or her designee any and all information available regarding circumstances under which the privileges of any physician assistant were changed as described in § 5-54-23(3) . No healthcare facility, chief executive officer, or his or her designee, communicating information under this section, shall have liability arising out of the communication, unless the person making the communication is not acting in good faith.

History of Section. P.L. 1998, ch. 364, § 2.

5-54-26. Hospital responsibility to take action based upon adverse information received.

  1. Whenever a hospital receives information from the board pursuant to § 5-54-23(3) that indicates that the privileges of a physician assistant or other healthcare professional have been suspended, revoked, or limited at another hospital, the receiving hospital shall within thirty (30) days initiate a preliminary inquiry into whether the privileges of the affected physician assistant or other healthcare professional at the receiving hospital should be suspended, revoked, or limited, based upon review of the exercise of privileges at the receiving hospital, unless the information indicates that any adverse action with respect to privileges was administrative in character.
  2. Any hospital receiving information described in subsection (a) may take any one or more of the following courses of action in addition to the action required in subsection (a), any one of which shall discharge its responsibility under this chapter to monitor the qualification and fitness of physician assistants and other healthcare professionals on its medical staff:
    1. In any case that has been referred to the board, to await final disposition of the board, and to take further action that is consistent with sanctions, if any, imposed by the board;
    2. In any case in which the matter has resulted in the suspension, revocation, or restriction of privileges at any other hospital, to adopt the factual findings of the other hospital, and to impose the suspension, revocation, or restriction in privileges that the receiving hospital deems appropriate, if any, in light of these factors; or
    3. In any case, to conduct a formal inquiry, in accordance with applicable procedural requirements, to determine what action, if any, should be taken with respect to the privileges of the physician assistant or other healthcare professional.
  3. No hospital, or officer, employee, physician assistant, or other healthcare professional associated with these shall be liable to any physician assistant or other healthcare professional for any action taken in accordance with subsection (a) or (b) when the action was made in good faith.

History of Section. P.L. 1998, ch. 364, § 2.

5-54-27. Participation in disaster and emergency care.

A person licensed under the provisions of this chapter or members of the same profession licensed to practice in other states of the United States or members of the same profession credentialed by a federal employer who voluntarily and gratuitously, and other than in the ordinary course of his or her employment or practice, renders emergency medical assistance during an emergency or a state or local disaster may render such care without collaboration as set forth in § 5-54-2(5) , or with such supervision as is available.

History of Section. P.L. 2011, ch. 44, § 2; P.L. 2011, ch. 112, § 2; P.L. 2019, ch. 197, § 1; P.L. 2019, ch. 230, § 1.

Compiler’s Notes.

P.L. 2019, ch. 197, § 1, and P.L. 2019, ch. 230, § 1 enacted identical amendments to this section.

5-54-28. Participation in charitable and voluntary care.

A physician assistant licensed in this state, or licensed or authorized to practice in any other U.S. jurisdiction, or who is credentialed by a federal employer or meets the licensure requirements of his or her requisite federal agency as a physician assistant may volunteer to render such care that he or she is able to provide at a children’s summer camp or for a public or community event or in a licensed ambulatory health center providing free care. Such care must be rendered without compensation or remuneration. It is the obligation of the physician assistant to assure adequate and appropriate professional liability coverage.

History of Section. P.L. 2019, ch. 197, § 2; P.L. 2019, ch. 230, § 2.

Compiler’s Notes.

P.L. 2019, ch. 197, § 2, and P.L. 2019, ch. 230, § 2 enacted identical versions of this section.

Chapter 55 Motor Fuel Distribution and Sales

5-55-1. Short title.

This chapter shall be known as the “Motor Fuel Distribution and Sales Act.”

History of Section. P.L. 1976, ch. 324, § 1.

Comparative Legislation.

Motor fuel distribution and sales:

Conn. Gen. Stat. § 14-318 et seq.

5-55-2. Legislative findings and purpose.

The legislature finds and declares that the distribution and retail sale of motor fuels at reasonable prices and in adequate supply throughout the state vitally affects the public health, welfare, and safety. It is necessary to define and regulate the relationship between parties to franchise agreements involving the sale or distribution of motor fuels in the state and to prescribe other trade practices.

History of Section. P.L. 1976, ch. 324, § 1.

5-55-3. Definitions.

As used in this chapter, unless the context indicates otherwise, the following words mean:

  1. “Automotive product” means any product sold or distributed by a retailer for use with a motor vehicle, whether or not that product is essential for the maintenance of the motor vehicle and whether or not that product is also used for non-automotive purposes.
  2. “Deposit in advance” means any deposit, regardless of its purported purpose, that is received by a distributor or refiner from a retail dealer or distributor as a breakage, security, or other similar deposit.
  3. “Distributor” means any person engaged in the sale, consignment, or distribution of petroleum products to wholesale or retail outlets, whether or not that person owns, leases, or in any way controls those outlets.
  4. “Franchise agreement” means any written or oral agreement, for a definite or indefinite period, between a refiner and a retail dealer or between a distributor and a retail dealer or between a refiner and a distributor under which:
    1. A retail dealer or a distributor promises to sell or distribute the product or products of the refiner;
    2. A retail dealer or a distributor is granted the right to use a trademark, trade name, service mark, or other identifying symbol or name owned by a refiner; or
    3. A retail dealer or a distributor is granted the right to occupy premises owned, leased, or controlled by a refiner or distributor.
  5. “Franchisee” means either a distributor who or that has entered into a franchise agreement with a refiner, or a retail dealer who has entered into a franchise agreement with a distributor or a refiner.
  6. “Franchisor” means either a refiner who or that enters into a franchise agreement with a distributor or retail dealer, or a distributor who enters into a franchise agreement with a retail dealer.
  7. “Motor fuel” and “petroleum product” means any substance or combination of substances that is intended to be or is capable of being used for the purpose of propelling or running by combustion any internal combustion engine that is sold or used for that purpose.
  8. “Person” means any natural person, corporation, partnership, trust, or other entity, and, in the case of any entity, the term also includes any other entity that has a majority interest in the entity or effectively controls the entity, the officers, directors, and other persons in active control of each entity.
  9. “Place of business” means:
    1. Any fixed geographical location at which, pursuant to a franchise agreement, motor fuels are sold or distributed or a trademark, trade name, service mark, or other identifying symbol is used or displayed; or
    2. Any premises owned, leased, or controlled by a refiner or distributor, in which a retail dealer or a distributor is granted the right of occupancy pursuant to a franchise agreement.
  10. “Refiner” means any person engaged in the refining or importing of petroleum products.
  11. “Retail dealer” means any person who operates a service station, filling station, store, garage, or other place of business for the sale of motor fuel for delivery into the service tank or tanks of any vehicle propelled by an internal combustion engine.
  12. “Retail fuel outlet” means a place at which gasoline and oil are stored and supplied to the public that is operated directly by a refiner or distributor.

History of Section. P.L. 1976, ch. 324, § 1.

5-55-4. Franchised dealers and distributors.

  1. Franchisor’s duty of disclosure.  A franchisor shall disclose, in writing, to any prospective franchisee the following information before any agreement is concluded:
    1. The gallonage-volume history, if any, of the location under negotiation for and during the three-year (3) period immediately past or for the entire period that the location has been supplied by the supplier, whichever is shorter.
    2. Projections, if any, as to gallonage consumption at the location under negotiation.
    3. The name and last-known address of the previous dealers for the last three (3) years, or for the entire period during which the location has been supplied by the supplier, whichever is shorter, and the reason for the termination of each dealer’s agreement.
    4. Any legally binding commitments for the sale, demolition, or other disposition of the location in effect prior to the termination date of the agreement.
    5. The training programs, if any, and the specific goods and services the supplier will provide without cost to the dealer.
    6. Full disclosure of any and all obligations that will be required of the dealer, including, but not limited to, any obligation to exclusively deal in any of the products of the supplier, its subsidiaries, or any other company or any advertising and promotional items that the dealer must accept.
    7. Full disclosure of all restrictions on the sale, transfer, renewal, and termination of the agreement.
  2. Franchise agreements.  Every franchise agreement, as defined in this chapter, is subject to the nonwaivable provisions described in this subsection, whether or not they are expressly stated in the agreement.
    1. Each retail dealer and each distributor as franchisee has the right to cancel a franchise agreement within seven (7) days after the day on which the agreement was signed, by giving the franchisor written notice of the cancellation. Upon giving the franchisor that notice, all money, equipment, and merchandise in satisfactory condition loaned, sold, or delivered to the franchisee under the agreement shall be returned to the franchisor for full credit, or the cash equivalent. If the franchisor is the owner of the real estate upon which the franchisee conducted his or her business, the franchisee shall deliver full possession of the real estate to the franchisor. The franchisee shall pay the franchisor for all lawful indebtedness remaining due after the return of merchandise and equipment.
    2. No agreement shall contain any provision that in any way limits the right of either party to trial by jury, the interposition of counterclaims, or cross-claims.
    3. The price at which a franchisee sells products shall not be fixed or maintained by a franchisor, nor shall any person seek to do so, nor shall the price of products be subject to enforcement or coercion by any person in any manner. Each agreement shall have the legend: “Nothing in this agreement shall be construed to prohibit a franchisor from suggesting prices and counseling with franchisees concerning prices. Price fixing or mandatory prices for any products covered in this agreement shall be prohibited. A service station dealer or wholesale distributor may sell any products listed in this agreement for a price which he or she alone may decide.”
    4. The franchisee may assign the franchise agreement; provided, that the franchisor consents to that assignment, which consent is not unreasonably withheld.
    5. If the franchise agreement requires the franchisee to provide a cash deposit in advance for the use of the service station or delivery of fuel, except as advance payment in whole or in part for the product ordered, the deposit may be held by the franchisor; may be used by the franchisor in his or her business; and may be retained for the term of the agreement unless it is sooner terminated. Interest at a rate of at least seven percent (7%) shall be paid to the franchisee at least annually. Within ninety (90) days after the termination of the agreement, the deposit shall be returned, together with any unpaid interest on that deposit at the rate of at least seven percent (7%) per year.
    6. No agreement shall provide for the use of any promotion, premium, coupon, give-away, or rebate in the operation of the business, except that a dealer may participate in a promotion, premium, coupon, give-away, or rebate sponsored by the franchisor, if the dealer desires.
  3. Termination of franchise agreements.  No refiner or distributor, as franchisor, shall, directly or through any officer, agent, or employee, terminate, cancel, or fail to renew a franchise agreement, except for good cause. For purposes of this section, “good cause” includes, but is not limited to:
    1. With respect to franchise agreements where the franchisor leases real property and improvements to the franchisee, the agreement may be terminated; provided, that there is a lawful termination of lease, license, or other non-ownership under which the franchisor shall be entitled to possession or control of that real property and improvements;
    2. Mutual agreement to terminate;
    3. Criminal misconduct or violation of law relating to the business or premises of the dealer;
    4. Fraud, which includes, but is not limited to, the following:
      1. Adulteration of the franchisor’s products;
      2. Commingling of funds;
      3. Misleading or misbranding of gasoline;
      4. Trademark violations;
      5. Intentionally overcharging or deceiving customers as to repairs that are not needed;
      6. Intentionally deceiving the franchisor regarding a term of the lease;
    5. Failure of the dealer to open for business for an unreasonable period of time; provided, that the failure is not due to matters beyond the dealer’s control;
    6. Bankruptcy or insolvency of the dealer;
    7. Nonpayment of rent, or loss by the franchisor of its legal right to grant possession of leased premises to the dealer;
    8. Public condemnation or other public taking;
    9. Nonpayment of merchandise or other indebtedness due to the franchisor; or
    10. Substantial noncompliance with the obligations of the franchise agreement.
  4. Notice of termination.  The franchisor shall give the franchisee advance, written notice of termination, cancellation, or intent not to renew. Notwithstanding any statute to the contrary, advance notice required by this subsection precedes the effective date of the termination, cancellation, or nonrenewal by at least:
    1. Where the asserted cause is substantial noncompliance with the obligations of the franchise agreement, the franchisor shall give the franchisee seven (7) days from receipt of notice in which to correct any breach. If the breach has not been corrected within the seven-day (7) period, the franchisor may terminate the franchise agreement in accordance with the notice requirements of the franchise agreement;
    2. One hundred twenty (120) days where the asserted cause is among those specified in subsection (c)(1); or
    3. Seven (7) days where the asserted cause is among those specified in subsections (c)(3), (c)(4), and (c)(5); provided, that the franchisee has seven (7) days from receipt of the notice in which to correct the matter asserted as cause for terminating the agreement.
  5. Compensation on termination of franchise.  Upon the termination of any franchise, the franchisee shall be entitled to fair and reasonable compensation by the franchisor at the then-current wholesale prices, for the franchisee’s merchantable inventory, supplies, equipment, and furnishings purchased by the franchisee from the franchisor; provided, that in that event the franchisor has the right to apply the proceeds against any existing indebtedness owed to the franchisor by the franchisee; and provided, that the repurchase obligation is conditioned upon there being no other claim or liens against the products by or on behalf of other creditors of the franchisee.

History of Section. P.L. 1976, ch. 324, § 1.

5-55-5. Unfair practices.

  1. It is unlawful for any refiner, distributor, producer, or transporter of petroleum products engaged in business in this state, either directly or indirectly, to discriminate in price between purchasers of petroleum products of similar grade and quality.
  2. Nothing in this section shall prevent differentials that only make allowance for differences in the cost of manufacture, marketing, transportation, sale, or delivery resulting from the different methods or quantities in which the commodities are sold and delivered to the purchasers.
  3. Nothing in this section shall prevent persons engaged in selling goods, wares, or merchandise in commerce from selecting their own customers in bona fide transactions and not in restraint of trade.
  4. It is unlawful for any wholesaler or reseller of petroleum products to sell at retail level for less than four cents (4¢) below his or her wholesale price to wholesale accounts who resell at retail in the same market area.
  5. Nothing in this section applies to the purchase of petroleum products for their own use by state and local agencies.
  6. The provisions of this section only apply to producers, refiners, or wholesalers whose total production, gasoline refining capacity, or sales volume at the wholesale level is fifteen thousand gallons (15,000 gals.) a day or more.

History of Section. P.L. 1976, ch. 324, § 1.

5-55-6. Dealer trade associations.

No supplier shall hinder, coerce, or threaten any dealer for the purpose of preventing him or her from joining any trade association made up of dealers. Dealers have a right to select bargaining agents to negotiate and deal with suppliers on an individual basis on matters having to do with their supplier-dealer relationship. Suppliers shall be obliged to bargain in good faith with selected agents by the dealers. That bargaining activity shall be pursued to the maximum extent permitted by law.

History of Section. P.L. 1976, ch. 324, § 1.

5-55-7. Statute of limitations.

No action may be brought under this chapter for a cause of action that arose more than two (2) years prior to the date that action is brought.

History of Section. P.L. 1976, ch. 324, § 1.

5-55-8. Legal and equitable remedies.

  1. If a franchisor or distributor engages in conduct prohibited under this chapter, a franchisee or a distributor may maintain a suit against that franchisor or distributor. Where that suit involves termination or nonrenewal for good cause, the burden of establishing good cause shall be on the franchisor.
  2. The court shall grant the equitable relief that is necessary to remedy the effects of conduct prohibited under this chapter, which it finds to exist, including declaratory judgment and mandatory or prohibitive injunctive relief. The court may grant interim equitable relief, and actual and punitive damages where indicated, in suits under this chapter and may, unless the suit is frivolous, direct that costs, reasonable attorney, and expert witness fees be paid by the franchisor, in the event the franchisee prevails.

History of Section. P.L. 1976, ch. 324, § 1.

5-55-9. Severability.

If any provisions of this chapter, or the application of this chapter to any circumstance, is held invalid, the remainder of the chapter, and the application of that provision to other circumstances, shall not be affected.

History of Section. P.L. 1976, ch. 324, § 1.

Chapter 56 Installers of Individual Sewage Disposal Systems

5-56-1. License required.

  1. It is unlawful for any person to install, construct, alter, or repair, or cause to be installed, constructed, altered, or repaired, any individual sewage disposal system unless he or she has a valid annual license issued by the director of environmental management.
  2. This section does not apply to a property owner installing, constructing, altering, or repairing an individual sewage disposal system to serve a building he or she occupies or will occupy as his or her intended permanent domicile; provided, that he or she has obtained written permission for that work, and that he or she has obtained the necessary written approval of the director of the plans and specifications for that work prior to the start of any construction.

History of Section. P.L. 1976, ch. 299, § 1; P.L. 1978, ch. 131, § 1.

Comparative Legislation.

Installers of individual systems:

Conn. Gen. Stat. § 20-341a et seq.

5-56-2. Conditions for obtaining an installer’s license.

  1. An application for an installer’s license filled out in its entirety, along with a fee of twenty-five dollars ($25.00), must be submitted to the director.
  2. The applicant installer must have demonstrated to the director that he or she is capable of installing individual sewage disposal systems in accordance with approved plans and specifications.
  3. The applicant installer must obtain a passing grade on a written examination given by the director, intended to demonstrate his or her understanding of the rules and regulations, and his or her ability to read and interpret approved plans and specifications for individual sewage disposal systems.
  4. The applicant installer must demonstrate possession of and ability to properly use a level or transit.

History of Section. P.L. 1976, ch. 299, § 1.

5-56-3. [Obsolete.]

5-56-4. License not transferable or assignable.

Installer’s licenses shall not be transferable or assignable and automatically become invalid upon a change of ownership or upon suspension or revocation.

History of Section. P.L. 1976, ch. 299, § 1.

5-56-5. Denial, suspension, and revocation of licenses.

  1. An application for a license may be denied or a license may be suspended or revoked when the director has determined that the operation is not being and/or will not be conducted in a manner prescribed in these regulations.
  2. When an application for a license is denied or when a license is suspended or revoked, a hearing shall be granted if a hearing is requested, in writing, by the aggrieved applicant within ten (10) days of the denial, suspension, or revocation.

History of Section. P.L. 1976, ch. 299, § 1.

5-56-6. Expiration and renewal of licenses.

  1. Licenses shall be in effect for a period not to exceed three (3) years following the date of issuance.
  2. A license shall be renewed upon payment of a renewal fee and the satisfactory completion of any continuing education required by the director.

History of Section. P.L. 1976, ch. 299, § 1; P.L. 1996, ch. 273, § 2; P.L. 1996, ch. 291, § 2.

5-56-7. Responsibilities, performance, and conduct.

A licensed installer shall adhere to the following:

  1. Perform all work in compliance with approved plans and specifications only.
  2. Report any discrepancies on an approved plan that he or she may note during construction to the director.
  3. Utilize only quality grade construction materials approved by the director.
  4. Use only the best construction techniques to provide for the best possible installations.
  5. Work only under valid plans approved by the director with the approval stamp clearly indicated, and commence work only after completely reviewing the entire approval including the application, the layout plans, all typical specification sheets, and other attachments.
  6. Adhere to each and every term of approval as stipulated by the director in his or her approval of the particular plan.

History of Section. P.L. 1976, ch. 299, § 1.

5-56-8. Penalties.

The penalties for noncompliance with any section of this chapter are as stated in § 42-17.1-2 as follows: any person who knowingly and willfully violates any rule or regulation adopted pursuant to authority granted to the director, upon conviction, shall be punished by a fine of not more than five hundred dollars ($500), or by imprisonment for not more than thirty (30) days, or both, for each offense or violation, and each day’s failure to comply with any rule or regulation shall constitute a separate offense.

History of Section. P.L. 1976, ch. 299, § 1; P.L. 1978, ch. 131, § 1; P.L. 1996, ch. 273, § 2; P.L. 1996, ch. 291, § 2.

Chapter 56.1 Designers of Individual Sewage Disposal Systems

5-56.1-1. Declaration of intent and purpose.

  1. Whereas sewage entering individual sewage disposal systems contains bacteria, viruses, other pathogens, and nutrients; and, whereas the sewage may also contain hazardous materials, including, but not limited to, cleaning fluids, paints, hobby supplies, and other hazardous household chemicals; and, whereas improperly designed or defectively installed and failing individual sewage disposal systems may degrade wetlands, groundwater, or surface waters, including drinking water sources; and, whereas the public health, the public welfare, and the environment require protection from pollutants emanating from individual sewage disposal systems; the general assembly establishes licensing requirements and responsibilities for persons involved in certain design and installation activities relating to individual sewage disposal systems.
  2. The purpose of this chapter is to establish provisions, qualifications, and procedures for licensing persons engaged in the preparation of applications, plans, certifications, and specifications for individual sewage disposal systems, also referred to as “ISDS,” for submittal to the department of environmental management.

History of Section. P.L. 1996, ch. 273, § 1; P.L. 1996, ch. 291, § 1.

5-56.1-2. License required.

Beginning one year after issuance of the first designer’s license, all plans, applications, evaluations, and certifications for the siting, location, design, installation, or repair of any individual sewage disposal system submitted to the department of environmental management shall be prepared by a person possessing an appropriate designer’s license issued by the director of the department of environmental management in accordance with rules and regulations promulgated under § 5-56.1-3 . The department of environmental management may exempt the repair of individual sewage disposal systems from this requirement.

History of Section. P.L. 1996, ch. 273, § 1; P.L. 1996, ch. 291, § 1.

5-56.1-3. Licensing authority.

The department of environmental management, acting through its director and referred to as “the licensing authority,” shall carry out the functions and duties conferred upon it by this chapter. The licensing authority shall adopt standards, rules, and regulations, pursuant to the administrative procedures act, chapter 35 of title 42, for the administration of the licensing program established under this chapter and related activities.

History of Section. P.L. 1996, ch. 273, § 1; P.L. 1996, ch. 291, § 1.

5-56.1-4. Conditions for obtaining a designer’s license.

  1. A designer’s license shall be issued to any person who satisfies all the requirements stated below:
    1. A completed application for a designer’s license along with a reasonable fee shall be submitted to the licensing authority; all fees shall be deposited as general revenues and the amounts appropriated shall be used for the purpose of administering the water-and-air-protection program.
    2. The applicant for a designer’s license shall be required to pass a written examination, which may include a field component, administered or sanctioned by the licensing authority for the applicable class of license. The test assesses the competency and knowledge of the applicant regarding pertinent subject matter and the application of ISDS regulations.
    3. The licensing authority shall establish, through regulations, classes of licenses appropriate to the expertise required for each activity performed by licensed individuals. The licensing authority shall establish minimum qualifications, education and experience requirements for each class of license and eligibility requirements for testing. The licensing authority may waive the requirement of a written examination or any portion of it in the case of a person licensed by a federal agency or another state having licensing requirements substantially equivalent to those in Rhode Island.
    4. With the exception of subsection (b) of this section, no person may be granted an exemption to any of the conditions for obtaining a license as provided for in this section on the basis of past experience or “grandfather” rights.
    5. The licensing authority shall hold an examination at least once per year.
  2. Professional engineers who have met all the educational requirements and have been registered and authorized to practice engineering in the state of Rhode Island by the state board of registration for professional engineers shall be deemed to have met all the minimum qualifications, experience, and education requirements for a designer’s license under this section and shall not be required to pass a written examination or to attend or enroll in continuing education programs as a requirement for the granting and renewal of their designer’s license.

History of Section. P.L. 1966, ch. 273, § 1; P.L. 1996, ch. 291, § 1; P.L. 2019, ch. 179, § 1; P.L. 2019, ch. 239, § 1.

Compiler’s Notes.

P.L. 2019, ch. 179, § 1, and P.L. 2019, ch. 239, § 1 enacted identical amendments to this section.

5-56.1-5. License not transferable or assignable.

Designers’ licenses shall be issued to natural persons only and are not transferable or assignable.

History of Section. P.L. 1996, ch. 273, § 1; P.L. 1996, ch. 291, § 1.

5-56.1-6. Expiration and renewal of licenses.

  1. A designer’s license shall be in effect for a period not to exceed three (3) years following the date of issuance.
  2. A license shall be renewed upon payment of a renewal fee and upon satisfactory completion of any continuing education required by the licensing authority.

History of Section. P.L. 1966, ch. 273, § 1; P.L. 1996, ch. 291, § 1.

5-56.1-7. Responsibilities — Performance and conduct.

  1. A licensed designer shall perform all studies, measurements, evaluations, investigations, data gathering, and other work within his or her licensed area of responsibility required to prepare the applicable submittal for individual sewage disposal systems. Nonlicensed employees or subordinates of a person possessing a designer’s license may assist in the work provided the work is done under the direct supervision of the licensed designer who shall be responsible for the work and shall sign any and all required applications, submittals, and certifications.
  2. A licensed designer shall witness and inspect the installation of any individual sewage disposal system that he or she designed. The licensing authority may, in accordance with regulation, waive this requirement for good cause, including the designer’s death or incapacity.
  3. A licensed designer shall certify to the licensing authority that the individual sewage disposal system was installed in conformance with the approved application, plans, specifications, applicable statutes and regulations, and that he or she has witnessed and inspected the installation. Upon the certification, the licensed designer shall be responsible for the installation. The certification shall not be construed to release the installer from liability. The licensed designer shall not be responsible for any negligent act or omission of a user of an ISDS, which causes damage to the ISDS, including altering of site conditions after certification of installation, failing to properly maintain the ISDS, or failing to protect the ISDS from physical disturbance causing damage.

History of Section. P.L. 1996, ch. 273, § 1; P.L. 1996, ch. 291, § 1.

5-56.1-8. Denial, suspension, and revocation of licenses — Censure.

  1. The licensing authority may deny, suspend, or revoke a designer’s license if the person or licensed designer fails to comply with the requirements prescribed in this chapter or any regulation promulgated under this chapter or where the person or licensed designer:
    1. Provided incorrect, incomplete, or misleading information in obtaining a designer’s license; or
    2. Demonstrated gross or repeated negligence, incompetence, or misconduct in the representation of site conditions in an application to the department of environmental management, design of an ISDS, or inspection or certification of an installation of an ISDS; or
    3. Has been convicted of a felony; or
    4. Failed or neglected to comply with continuing-education requirements established by the licensing authority.
  2. An action to suspend or revoke a designer’s license pursuant to subsection (a) may not be taken until after the licensed designer has an opportunity to have a hearing before the licensing authority. This hearing shall be held within thirty (30) days of written notice of intent to suspend or revoke the license.
  3. The licensing authority shall appoint a review panel consisting of five (5) members, at least three (3) of whom shall be licensed designers not employed by the licensing authority, for the purpose of reviewing and hearing disciplinary actions contemplated under subsection (b). The review board shall make recommendations to the licensing authority to suspend or revoke licenses. All final decisions shall be made by the licensing authority.
  4. Any person aggrieved by the denial of an application for a license pursuant to § 5-56.1-4 , or a denial, suspension, or revocation of a license pursuant to this section, may request a formal hearing pursuant to § 42-17.1-2(21) that shall be granted, if requested, in writing by the aggrieved applicant or licensee within ten (10) days of the denial, suspension, or revocation.
  5. The licensing authority may publicly censure any licensed designer whose license was suspended or revoked.

History of Section. P.L. 1996, ch. 273, § 1; P.L. 1996, ch. 291, § 1; P.L. 2008, ch. 475, § 16; P.L. 2021, ch. 400, § 16, effective July 13, 2021; P.L. 2021, ch. 401, § 16, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 16, and P.L. 2021, ch. 401, § 16 enacted identical amendments to this section.

5-56.1-9. Penalties.

The penalties for noncompliance with any section of this chapter shall be the same as stated in § 42-17.1-2(22) and chapter 17.6 of title 42.

History of Section. P.L. 1996, ch. 273, § 1; P.L. 1996, ch. 291, § 1; P.L. 2008, ch. 475, § 16.

Chapter 57 Burglar and Hold-Up Alarm Businesses

5-57-1. Purpose.

The purpose of this chapter shall be to provide uniform procedures and qualifications throughout this state for the licensing of alarm businesses and the issuance of identification cards to alarm agents and certain other individuals.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-2. Definitions.

For the purpose of this chapter, the following terms, phrases, words, and their derivations have the meaning given in this chapter. When not inconsistent with the context, words used in the plural number include the singular number and words used in the singular number include the plural number:

  1. “Alarm agent” means any individual employed within this state by an alarm business, whose duties include the altering, installing, maintaining, moving, repairing, replacing, selling, or servicing of an alarm system or responding to, or causing others to respond to, an alarm system.
  2. “Alarm business” means and includes any business, both resident and nonresident, engaged in the installation, maintenance, alteration, repair, replacement, or servicing of alarm systems or that responds to, or causes others to respond to, those alarm systems at a protected premises within this state. Any “alarm business” licensed under this chapter must maintain a twenty-four-hour-per-day (24) service structure, the terms and conditions of which or procedures for implementation are established by the licensing authority through rules and regulations.
  3. “Alarm system” means an assembly of equipment and devices (or a single device such as a solid-state unit that plugs directly into a 110-volt AC line) designed to detect and signal an unauthorized intrusion into premises or to signal an attempted robbery at premises, and with respect to that signal, police or private guards are expected to respond. Fire-alarm systems and alarm systems that monitor temperature, humidity, or any other condition not directly related to the detection of an unauthorized intrusion into premises or an attempted robbery at premises are excluded from the provisions of this chapter.
  4. “Department” means the division of professional regulation within the department of labor and training.
  5. “Director” means the director of the department of labor and training.
  6. “Licensing authority” means the department of labor and training.
  7. “Notify by mail,” when used to notify an applicant of approval of a license or I.D. card; or when used to forward a license or permanent I.D. card to the licensee or I.D. card holder means first-class mail. When used to notify an applicant, licensee, or I.D. card holder of intent to refuse or deny an application, or suspend or revoke the license or I.D. card, or to notify a licensee, applicant, or I.D. card holder of final refusal, denial, suspension, or revocation of that application, license, or I.D. card, the term “notify by mail” means certified mail, return receipt requested.
  8. “Owner” means a person who holds an interest of twenty-five percent (25%), directly or indirectly, or more in an alarm business.
  9. “Person” means an individual, firm, partnership, corporation, or organization of any nature.
  10. “Principal corporate officer” means the president, vice president, treasurer, secretary, and comptroller as well as any other person who performs functions for the corporation corresponding to those performed by the preceding officers.
  11. “Subscriber” means a person or business that buys or obtains an alarm system and has a contract with an alarm business to monitor and/or service the alarm system.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1978, ch. 119, § 1; P.L. 1979, ch. 219, § 1; P.L. 1985, ch. 181, art. 12, § 2; P.L. 2008, ch. 100, art. 33, § 5.

5-57-3. Licensing authority — Creation.

The department of labor and training shall carry out the functions and duties conferred upon it by this chapter and shall be referred to, in that context, as “the licensing authority.”

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1985, ch. 181, art. 12, § 2; P.L. 2008, ch. 100, art. 33, § 5.

5-57-4 — 5-57-8. [Repealed.]

Repealed Sections.

These sections (P.L. 1977, ch. 248, § 1; P.L. 1978, ch. 119, § 1; P.L. 1979, ch. 219, § 1), concerning the former licensing authority for alarm businesses and alarm agents, were repealed by P.L. 1985, ch. 181, art. 12, § 1, effective July 1, 1985. That same Act makes the department of business regulation the licensing authority under this chapter. See § 5-57-3 .

5-57-9. Licensing authority — Staff.

The director of labor and training has the authority to hire and terminate the clerical and professional personnel, including a chief licensing examiner, to handle daily operations of the licensing authority that are necessary to enable it to fulfill its mandate under the provisions of this chapter. All the expenses shall be paid out of the general fund, and the state controller is authorized and directed to draw his or her orders upon the general treasurer upon receipt by him or her of properly authenticated vouchers signed by the director.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1978, ch. 119, § 1; P.L. 1979, ch. 219, § 1; P.L. 1985, ch. 181, art. 12, § 2; P.L. 2008, ch. 100, art. 33, § 5.

5-57-10. Licensing authority — Seal.

The licensing authority shall have a seal, the form of which the licensing authority shall prescribe.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-11. Licensing authority — Rules and regulations.

The authority to promulgate rules and regulations that are reasonable, proper, and necessary to carry out the functions of the licensing authority; to enforce the provisions of this chapter; and to establish procedures for the preparation and processing of examinations, applications, license certificates, I.D. cards, renewals, appeals, hearings, and rulemaking proceedings shall be vested in the licensing authority.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-12. Licensing authority — Issuance of subpoenas — Contempt powers.

  1. In any investigation conducted under the provisions of this chapter, the licensing authority may issue subpoenas to compel the attendance of witnesses and the production of relevant books, accounts, records, and documents. The officer conducting a hearing may administer oaths and require testimony or evidence to be given under oath.
  2. If a witness refuses to obey a subpoena or give any evidence relevant to proper inquiry by the licensing authority, the licensing authority may petition a court of competent jurisdiction within the state to compel the witness to obey the subpoena.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-13. [Repealed.]

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1978, ch. 119, § 1; Repealed by P.L. 1979, ch. 219, § 1.

Compiler’s Notes.

Former § 5-57-13 concerned rulemaking. For present provisions of law, see § 5-57-13 .1.

5-57-13.1. Procedures for adoption of rules.

The licensing authority shall follow the procedures for adoption of rules established by the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1979, ch. 219, § 2.

5-57-14. Alarm business license required — Licensing of electricians.

  1. It is unlawful and punishable as provided in § 5-57-41 for any person to engage in the alarm business within this state without having first obtained an alarm business license from the state licensing authority, subject to subsection (c) of this section; provided, that nothing contained in this chapter shall be construed to prohibit an electrician licensed pursuant to chapter 6 of this title from installing a burglar or hold-up alarm system; and provided, that no electrician licensed pursuant to this section shall install any burglar or hold-up alarm system in any bank or other financial institution or in any residential housing with four (4) units or less.
  2. Authority for the licensing of any electrician shall be vested with the department of labor and training which shall:
    1. After receipt of an application for a license, conduct an investigation to determine whether the facts presented in the application are true and shall receive from the department of the attorney general all records of criminal information that it has or shall receive indicating any criminal activity on the part of the individual signing the application; and
    2. Deny any application of a person who has been convicted in any jurisdiction of the United States of a felony or a misdemeanor if the licensing authority finds that the conviction reflects unfavorably on the fitness of the applicant to engage in the alarm business.
  3. Every person desiring to be engaged in the alarm business within this state shall apply to the licensing authority for a license to operate an alarm business. Any person engaged in the alarm business on July 1, 1979, and filing a timely application may continue to engage in the alarm business pending a final determination of the application. Any person not having previous experience in the alarm business and filing as a new applicant who will be the owner or principal officer of the business or branch office in this state shall not engage in the alarm business until approval by the licensing authority of his or her alarm business license and I.D. card applications for himself or herself and his or her employees.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1979, ch. 219, § 1; P.L. 1982, ch. 402, § 1; P.L. 1985, ch. 181, art. 12, § 2; P.L. 2019, ch. 308, art. 1, § 24.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-57-15. Contents of applications for licenses.

  1. Applications for licenses required by the provisions of this chapter shall be filed with the licensing authority on a form provided by the licensing authority. If the applicant is an individual, the application shall be subscribed and sworn to by the individual. If the applicant is a firm or partnership, the application shall be subscribed and sworn to by an owner in the case of a firm, and by at least one general partner in the case of a partnership. If the applicant is an individual and does not reside, operate any business, or is not employed within the state, or if in the event the applicant is a firm or partnership and no owner or general partner resides, operates a business, or is employed within the state, then the application must also be subscribed and sworn to by an individual having the authority and the responsibility for the management and operations of the alarm business within the state. If the applicant is a corporation, the application shall be subscribed and sworn to by at least one principal officer of the corporation. If the applicant is a corporation and none of its principal officers is responsible for the management and operations of the alarm business within the state, the application shall be subscribed and sworn to by an individual having the authority and responsibility for the management and operations of the alarm business within the state.
  2. If the applicant is a corporation, the application shall specify the date and place of its incorporation; the location of the applicant’s principal place of business; a list of the principal officers of the corporation; owners of twenty-five percent (25%) or more of outstanding stock of all classes of the corporation; and the business address, residence address, and the office or position held by each officer in the corporation.
  3. The application shall include the following information for each individual required to subscribe and swear to it:
    1. The individual’s full name and address (business and residence);
    2. The individual’s business telephone number;
    3. The individual’s date and place of birth;
    4. The individual’s social security number;
    5. The name and address of the individual’s present place or places of employment or self-employment and the length of time engaged there;
    6. A list of all felony and misdemeanor convictions of the individual in any jurisdiction;
    7. Two classifiable sets of fingerprints of the individual having the authority and the responsibility for the management and operation of the alarm business within the state, recorded in any manner that may be specified by the licensing authority; and
    8. Whether the individual has ever been denied in any jurisdiction a license or permit to engage in the alarm business or has had the license or permit revoked.
  4. The application shall include the following information concerning the applicant:
    1. The name, address, and telephone number of the alarm business and the locations where it intends to operate within the state;
    2. A statement as to the length of time that the applicant has been engaged in the alarm business and where engaged; and the date when the alarm business or businesses commenced operation in the state or when the alarm business intends to commence that operation;
    3. A statement as to whether, to the best knowledge and information of the individual signing the application, any of the owners, partners, or principal corporate officers of the applicant, including those not residing within the state, have been convicted in any jurisdiction of a felony or misdemeanor. If there have been any convictions, then the application must state the names of the individuals convicted and the dates and places of the convictions.
  5. The licensing authority may require that the application include any other information the licensing authority may reasonably deem necessary to determine whether the applicant or individual signing the application meets the requirements of this chapter or to establish the truth of the facts presented in the application.
  6. Any individual signing a license application must be at least eighteen (18) years of age.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 2019, ch. 308, art. 1, § 24.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-57-16. Experience or examination requirements.

  1. Every alarm business shall meet either the experience requirement of subsection (c) or the examination requirement of subsection (f) before it may engage in the alarm business.
  2. Applicants engaged in the alarm business on September 1, 1977, have three (3) months from the date of conditional approval of their alarm business application by the licensing authority to comply with the examination requirements of this section; provided, that if within that time the applicant is unable to engage an individual meeting the requirements of subsection (f), the licensing authority may, for good cause shown, extend for a reasonable time, not to exceed ninety (90) days, the period within which the applicant shall comply with this section. Upon satisfactory completion of the examination, procedures, content, and passing scores for which are established in rules and regulations, the licensing authority shall lift its conditional approval and grant its full approval of the company licensed to do business. Applicants who do not take the examination must satisfy the experience requirement required by subsection (c).
  3. Experience requirement.  In order to comply with this requirement, at least one individual who is an owner, officer, partner, manager, or employee of the applicant shall establish that he or she was engaged or was employed in an alarm business in sales, installation, or service for an aggregate period of three (3) years prior to the filing of the application. That individual shall file with the licensing authority sworn statements relating to the foregoing facts of at least two (2) citizens of the community or communities in which that individual was so engaged or employed. The individual whom the applicant relies upon to comply with this subsection is required to devote a substantial portion of his or her time to engaging in and/or supervising the sale, installation, or servicing of alarm systems on behalf of the applicant.
  4. For the purposes of the three-year (3) experience requirement of subsection (c), employment by or engagement in an alarm business in one or more communities within the state may be aggregated. In the event that the individual whom the applicant relies upon to comply with subsection (c) must aggregate his or her past experience in the alarm business in two (2) or more states, the individual must submit sworn statements of two (2) or more citizens of each state or states as to that experience.
  5. If the licensing authority determines that the applicant has not satisfactorily complied with subsection (c), or that the prior experience of the individual whom the applicant relies upon to comply with subsection (c) is not sufficient to permit the applicant to engage in the alarm business, it may require the applicant to comply with subsection (f).
  6. Examination requirement.  The licensing authority shall prepare and administer at least twice annually an examination or examinations designed to measure an individual’s knowledge and competence in the alarm business. It may administer separate examinations to test an individual’s knowledge and competence with respect to the type and nature of the alarm business in which the applicant proposes to engage. The individual who qualifies under this subsection shall be required to devote a substantial portion of his or her time to engaging in and/or supervising the sale, installation, or servicing of alarm systems on behalf of the applicant.
  7. In the event that the individual whom the applicant relies upon to comply with subsection (c) or to qualify under subsection (f) within a period of three (3) years after that compliance or qualification for any reason ceases to perform his or her duties on a regular basis, the alarm business shall promptly notify the licensing authority by certified mail and shall make every effort to promptly obtain a substitute, eligible individual acceptable to the licensing authority. If the alarm business fails to obtain a substitute, eligible individual within six (6) months from and after the disqualification of the licensee, the licensing authority may revoke the alarm business license or, for good cause shown, may extend for a reasonable time the period for obtaining a substitute qualifying individual or the licensing authority may determine, based upon the experience and performance of the alarm business, that the alarm business does not need to obtain a substitute qualifying individual.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1978, ch. 119, § 1; P.L. 1979, ch. 219, § 1.

5-57-17. Investigation of license applications.

After receipt of an application for a license, the licensing authority shall conduct an investigation to determine whether the facts presented in the application are true and shall receive from the department of the attorney general all records of criminal information that it has or receives indicating any criminal activity on the part of the individual signing the application. The department of the attorney general shall also submit the fingerprints of the individual signing the application to the Federal Bureau of Investigation for review. The department of the attorney general shall provide the information subject to the rules and regulations promulgated by the attorney general regarding the production of that information.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-18. Time limit for action on license applications.

Within thirty (30) days after receipt of an application, the licensing authority shall determine whether the applicant has met the requirements of this chapter. In the event that additional information is required from the applicant by the licensing authority to complete its investigation or to satisfy the requirements of this chapter, or if the applicant has not submitted all of the required information, the thirty-day (30) period for action by the licensing authority shall commence when all that information is received by the licensing authority.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-19. Grounds for denial of applications.

The licensing authority may deny the application for an alarm business license if it finds that the applicant or the individual having the authority and the responsibility for the management and operation of the applicant’s alarm business within the state or the individual whom the applicant relies upon to comply with subsection (c) or (f) of § 5-57-16 or any of the applicant’s owners, partners, or principal corporate officers have:

  1. Committed any act that, if committed by a licensee, would be grounds for the revocation of a license under § 5-57-25(a) ;
  2. While unlicensed, knowingly and willfully committed or aided and abetted in the commission of any act for which a license is required by this chapter; or
  3. Been convicted in any jurisdiction of the United States of a felony or a misdemeanor if the licensing authority finds that the conviction reflects unfavorably on the fitness of the applicant to engage in the alarm business.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-20. Procedure for approval or denial of applications.

  1. The procedure of the licensing authority in approving or denying an application shall be as follows:
      1. If the application is approved, the licensing authority shall notify the applicant, in writing, of the approval, and shall state that if bond is not received with the application, upon compliance with § 5-57-21 , a license will be issued.
      2. That notification shall state that the issued license shall expire in one year, unless renewed in accordance with §§ 5-57-22 and 5-57-23 , and shall state the time within which application for renewal must be made;
    1. If the application of the alarm business is denied, the licensing authority shall notify the applicant, in writing, and shall state the grounds for denial and advise the applicant of his or her right to a hearing on the denial in accordance with the provisions established by the administrative procedures act, chapter 35 of title 42. If the grounds for denial are subject to correction by the applicant, the notice of denial shall state and the applicant shall be given reasonable time after receipt and acknowledgement of that notice, at the discretion of the licensing authority (or, upon application, a reasonable period of time), within which to make the required correction.
  2. If the application of the alarm business is denied, the applicant may schedule a hearing to be held before the licensing authority or an officer designated by the licensing authority in accordance with the provisions for that hearing as prescribed in the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1978, ch. 119, § 1; P.L. 1979, ch. 219, § 1.

5-57-21. Surety bond.

  1. No license shall be issued under this chapter until the applicant files with the licensing authority a surety bond made payable to the state in the sum of ten thousand dollars ($10,000) conditioned to recover against the principal, by reason of wrongful acts of a material nature knowingly engaged in by the licensee in the conduct of its business. No party other than the licensing authority shall recover against the bond required by this section. The surety bond must be written by a company authorized to do business in this state and approved by the licensing authority with respect to its form, manner of execution, and sufficiency.
  2. Every licensee shall at all times maintain on file with the licensing authority the surety bond, in full force and effect, required by this chapter. Knowing and willful failure to do so shall be unlawful and punishable as provided in § 5-57-41 .
  3. A bond executed and filed with the licensing authority pursuant to this chapter shall remain in force and effect until the surety has terminated future liability by notice to the licensing authority thirty (30) days in advance of termination.
  4. The sum of ten thousand dollars ($10,000) in cash may be deposited with the state in lieu of the surety bond required by this chapter.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1978, ch. 119, § 1.

5-57-22. Renewal of licenses.

Application for renewal of a license must be received by the licensing authority on a form provided by the licensing authority no less than thirty (30) days prior to the expiration date of the license, subject to the right of the licensing authority to permit late filing upon good cause shown. The licensing authority may refuse to renew a license for any of the grounds stated in § 5-57-19(1) and it shall promptly notify the licensee of its intent to refuse to renew the license. The licensee may, within fifteen (15) days after receipt of the notice of intent to refuse to renew a license, request a hearing on that refusal in the manner prescribed in § 5-57-20(b) . A licensee shall be permitted to continue to engage in the alarm business while its renewal application is pending.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1978, ch. 119, § 1; P.L. 1987, ch. 184, § 8.

5-57-23. Application, license, replacement, and renewal fees.

  1. A nonrefundable application fee of one hundred twenty-five dollars ($125) shall be remitted with each application to cover investigation and administrative costs.
  2. The licensing authority shall promulgate rules and regulations mandating the term of license for each license issued pursuant to this chapter; no license shall remain in force for a period in excess of three (3) years.
  3. Any fee for the initial issuance of a license or for the renewal of a license shall be determined by multiplying the per-annum fee by the term of years of the license. The entire fee for the total term of licensure shall be paid prior to issuing the initial license or renewal.
  4. The per-annum fee for the initial issuance of a license shall be one hundred dollars ($100) which shall be remitted with the application, but shall be refunded if the application of the alarm business is denied or withdrawn before approved.
    1. The licensee shall submit a completed renewal application form not later than thirty (30) days before the expiration of the license with a fifty dollar ($50.00) nonrefundable administrative fee to cover the cost of processing the renewal application.
    2. The per-annum fee for renewal shall be one hundred dollars ($100). If the renewal application of the licensee is denied, the annual fee will be refunded.
  5. All fees shall be paid into the general fund.
  6. There shall be a ten dollar ($10.00) charge for the issuance of a duplicate license to replace a lost, damaged original, or renewal license. Fees for the replacement license shall be paid into the general fund.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1978, ch. 119, § 1; P.L. 1979, ch. 219, §§ 1, 2; P.L. 1987, ch. 184, § 9; P.L. 2004, ch. 595, art. 30, § 7.

5-57-24. Transfer or assignment of licenses — Continuation of business upon owner’s death.

  1. No license issued pursuant to the provisions of this chapter shall be assigned or transferred, either by operation of law or otherwise.
  2. If the license is held by an owner rather than a corporation and that owner dies, becomes disabled, or ceases to engage in the alarm business, the successor, heir, devisee, or personal representative of that owner, within thirty (30) days of the death, disablement, or termination of operation by the original licensee, shall apply for an alarm business license on a form prescribed by the licensing authority. This form shall include the same information required by § 5-57-15 . The transferee shall be subject to the same requirements and procedures prescribed in §§ 5-57-16 5-57-21 to the extent the sections are applicable. The new applicant may assume that the unexpired portion of the license will remain in effect until its expiration date. The applicant shall pay a pro-rated license fee established by the licensing authority to include that portion of the license that remains unexpired since its last date of issue or renewal.
  3. In the event that a sale, assignment, or transfer of an alarm business licensed under this chapter is consummated, then the purchaser, assignee, or transferee shall be subject to the same requirements and procedures prescribed in §§ 5-57-15 5-57-21 to the extent those sections are applicable.
  4. With good cause, the licensing authority may extend the period of time for filing the application required by subsections (b) and (c) of this section.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1978, ch. 119, § 1.

5-57-25. Grounds and procedure for revocation of licenses.

  1. Licenses for alarm businesses may be revoked by the licensing authority in the manner stated in this section if the licensee or any of its owners, partners, principal corporate officers, or the individual having the authority and the responsibility for the management and operation of the alarm business within the state are:
    1. Found to have violated any of the provisions of this chapter or any rule or regulation of the licensing authority which violation the licensing authority determines to reflect unfavorably upon the fitness of the licensee to engage in the alarm business;
    2. Found to have knowingly and willfully given any false information of a material nature in connection with an application for a license or a renewal or reinstatement of a license or in a notice of transfer of an alarm business licensed under this chapter;
    3. Found to have been convicted in any jurisdiction of a felony or a misdemeanor if the licensing authority determines that the conviction reflects unfavorably on the fitness of the applicant to engage in the alarm business; or
    4. Found to have committed any act while the license was not in effect that would be cause for the revocation of a license, or grounds for the denial of an application for a license of an alarm business.
  2. Prior to revocation of a license, the licensing authority shall promptly notify the licensee of its intent to issue an order of revocation and shall advise the licensee of his or her right to a hearing on the revocation in accordance with the provisions of the administrative procedures act, chapter 35 of title 42.
  3. Within ninety (90) days after the licensee has exhausted all rights of appeal under the administrative procedures act, or, if the licensee does not seek a hearing after receipt of a notice of intent to revoke from the licensing authority, then within sixty (60) days after receipt of the notice of intent to revoke, the licensee shall notify all of its subscribers within the state of that revocation and shall maintain in its records a copy of those notices. The licensee shall cease to perform any services for which it has been licensed under this chapter within sixty (60) days of its receipt of the final notice of intent to revoke from the licensing authority.
  4. Under circumstances in which the licensing authority determines that the public health, welfare, or safety may be jeopardized by the termination of a licensee’s services, the licensing authority may, upon its own motion or upon application by the licensee or any party affected by that termination, extend the time for the termination of the licensee’s operations, subject to the reasonable, necessary, and proper conditions or restrictions that it deems appropriate.
  5. After the licensing authority issues a notice of intent to revoke a license, the licensee may request that it be permitted to continue to operate subject to the terms of a written order of consent issued by the licensing authority, requiring the licensee to correct the conditions stated as grounds for revocation in the notice of intent to revoke and imposing reasonable conditions and restrictions on the licensee in the conduct of its business. The licensing authority may, in its sole discretion, grant or deny a request and may stay or postpone any proceeding being conducted pursuant to subsection (b). Negotiations for a consent order may be requested at any time during revocation proceedings and stay of pending proceedings during those negotiations shall be within the sole discretion of the licensing authority. If revocation proceedings are before a court and the licensing authority shall submit the proposed order to the court, which may approve or disapprove the proposed order or require modification of the proposed consent order before approval.
  6. The licensing authority shall enact reasonable rules and regulations for determination of whether the licensee has complied with a consent order issued pursuant to subsection (e). If the licensing authority determines that the licensee has failed to comply, it may revoke that order and conduct proceedings for the revocation of the license. If the consent order is approved by a court, then the licensing authority shall petition that court for vacation of the order. The court shall hold a hearing to determine if the order should be vacated. If the court vacates the consent order, the licensing authority may conduct proceedings for revocation of the license.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1979, ch. 219, § 1.

5-57-26. Form of license.

The license, when issued, shall be in a form prescribed by the licensing authority and shall include:

  1. The name of the licensee;
  2. The nature and type of service to be performed;
  3. The business name under which the licensee is authorized to operate;
  4. The addresses of the locations where the licensee is authorized to operate; and
  5. The number and date of the license and its date of expiration.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-27. Posting of license certificates and notices of license revocation.

  1. Within seventy-two (72) hours after receipt of the license certificate, the licensee shall cause the license certificate to be posted and displayed at all times in a conspicuous place in the principal office of the licensee within the state. Copies of the license certificate shall also be displayed at all times in any other offices within the state where the alarm business transacts business with its customers, so that all persons visiting that place or places may readily see the license. Those license certificates or copies shall be subject to inspection at all reasonable times by the licensing authority.
  2. It is unlawful for any person holding a license certificate to knowingly and willfully post that license certificate or permit that license certificate to be posted upon premises other than those described in the license certificate or to knowingly and willfully alter that license certificate. Each license certificate shall be surrendered to the licensing authority within seventy-two (72) hours after it is revoked or after the licensee ceases to do business, subject to § 5-57-20(b) . If the licensing authority or a court of competent jurisdiction has pending before it any matter relating to the renewal, revocation, or transfer of a license, the licensee is not required to surrender the license until the matter has been adjudicated and all appeals have been exhausted. When the licensee receives final notice that its license is revoked, a copy of that notice shall be displayed and posted in close proximity to the license certificate until the licensee terminates its operations.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-28. Change in status of licensee.

The licensee shall notify the licensing authority within thirty (30) days of any material change in the operations of the business or information previously furnished, or required to be furnished, to the licensing authority or any occurrence that could be reasonably expected to affect the licensee’s right to a license under this chapter.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-29. I.D. cards — Requirement — Application — Issuance or denial.

  1. It is unlawful and punishable as provided in § 5-57-41 for any individual to function as an alarm agent or to perform the duties described in subsections (b) and (c) of this section without first obtaining an identification card (referred to as “I.D.” card).
  2. Owners, principal corporate officers, partners, and managers of all alarm businesses shall be required to obtain I.D. cards if they directly engage in selling, installing, altering, servicing, moving, maintaining, repairing, replacing, monitoring, responding to, or causing others to respond to, alarm systems within the state.
  3. Any individual engaged in the alarm business or employed by or associated with an alarm business within the state who is not an alarm agent but who has access to confidential information relating to a customer or subscriber of an alarm business or who monitors radio equipment used in connection with an alarm business must also obtain an I.D. card.
  4. Individuals required to obtain an I.D. card under this section shall file a joint application for a temporary and permanent I.D. card and upon completion, the alarm business shall immediately forward the application form to the licensing authority and shall retain a copy of the application in its files. Alarm businesses shall issue temporary I.D. cards in the manner prescribed in subsection (g) of this section until the I.D. card applicant obtains a permanent I.D. card from the licensing authority.
  5. A person engaged in the alarm business on September 1, 1977, has authority to, and is required to, issue to its alarm agents or other individuals required to obtain I.D. cards under this section temporary I.D. cards (as provided in subsection (g) of this section) while the application of that person for an alarm business license is pending. If that alarm business application is finally denied, the alarm business no longer has authority to issue temporary I.D. cards. All temporary I.D. cards issued by that alarm business shall become void and shall be returned by the temporary I.D. cardholders to the issuer.
  6. Application for an I.D. card shall be on a form prescribed by the licensing authority and shall include the following:
    1. The I.D. card applicant’s full name and any other names previously used, current residence and business addresses, and telephone numbers;
    2. Date and place of birth;
    3. Whether the I.D. card applicant is applying as an alarm agent or as an individual required to obtain an I.D. card under subsection (b) or (c) of this section;
    4. A list of all felony and misdemeanor convictions of the I.D. card applicant in any jurisdiction;
    5. Two (2) classifiable sets of fingerprints recorded in the manner that may be specified by the licensing authority;
    6. Two (2) recent photographs of a type prescribed by the licensing authority;
    7. The name and address of the alarm business that employs or will employ or engage the I.D. card applicant;
    8. The application shall include a statement by the alarm business that employs or will employ the I.D. card applicant or engage the I.D. card applicant as to whether that alarm business:
      1. Is licensed under this chapter;
      2. Has a license application pending before the licensing authority; or
      3. Is unlicensed and does not have an application pending before the licensing authority but was engaged in the alarm business within the state on September 1, 1977, and intends to file a timely application for an alarm business license under this chapter;
    9. A statement by the alarm business as to whether it has issued a temporary I.D. card to the I.D. card applicant. If the alarm business has issued a temporary I.D. card, the alarm business shall state the date of issuance of the card and the card number;
    10. The I.D. card applicant’s employment record for the prior three (3) years;
    11. A statement whether the applicant has been denied an alarm agent, guard, or private investigator license, permit, or I.D. card, or business license for an alarm business, guard, or private investigator business in any jurisdiction and whether that license, permit, or I.D. card has been revoked;
    12. A statement that the I.D. card applicant will inform the licensing authority of any material change in the information stated in the I.D. card applicant’s form within ten (10) days after that change; and
    13. Any other information that the licensing authority may reasonably deem necessary to determine whether an applicant for an I.D. card meets the requirements of this chapter.
  7. A temporary I.D. card shall be issued by an alarm business licensed under this chapter to any of its alarm agents or any other individual required to obtain an I.D. card prior to the issuance of a permanent I.D. card for this individual by the licensing authority. The form for temporary I.D. cards shall be at the discretion of the alarm business, but shall only be with the approval of the licensing authority. The form for permanent I.D. cards shall be prescribed by the licensing authority and shall include the following information concerning the I.D. cardholder:
    1. Full name and signature;
    2. An I.D. card number and date of issuance of the card;
    3. Date and place of birth;
    4. Name and address of the alarm business that employs the applicant or with which the applicant is associated;
    5. Date of commencement of employment or association with the alarm business; and
    6. A recent photograph of the I.D. cardholder.
  8. Before issuing a permanent I.D. card, the licensing authority shall require the prospective I.D. cardholder to submit, on forms provided by the licensing authority, the names and addresses of two (2) references who can verify the applicant’s good moral character and competency to install alarms or alarm systems and the names and addresses of employers of the prospective I.D. cardholder for the past three (3) years, and shall make reasonable and prudent inquiries to determine whether the applicant meets the requirements of this section. If the licensing authority has reason to believe that the individual required to obtain a permanent I.D. card does not meet the requirements of this section, no permanent I.D. card shall be issued by the licensing authority.
  9. Any alarm business issuing a temporary I.D. card shall promptly report to the licensing authority the name, address, and I.D. card number of the individual to whom it has issued a temporary I.D. card.
  10. The temporary or permanent I.D. card shall be carried by an individual required to obtain an I.D. card under this chapter whenever that individual is engaged in the alarm business and shall be exhibited upon request.
  11. Application for an I.D. card to the licensing authority shall be accompanied by a thirty-dollar ($30.00) fee to cover the cost of processing the application and investigating the applicant. The fees collected shall be paid into the general fund.
  12. The licensing authority may refuse to issue an I.D. card if the I.D. card applicant has been convicted of a felony or a misdemeanor in any jurisdiction and the licensing authority finds that the conviction reflects unfavorably on the fitness of the applicant to engage in the alarm business or to be employed by an alarm business.
  13. The permanent I.D. card issued by the licensing authority shall include the items listed in subsection (g) of this section and the expiration date of the I.D. card.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1978, ch. 119, § 1; P.L. 1979, ch. 219, § 1; P.L. 2004, ch. 595, art. 30, § 7.

5-57-30. Investigation of I.D. card applications.

After receipt of an application for an I.D. card, the licensing authority shall conduct an investigation to determine whether the facts stated in the application are true and shall receive from the department of the attorney general all records of criminal information that it has or receives indicating any criminal activity on the part of the applicant for an I.D. card. The department of the attorney general will also submit the fingerprints of the applicant for an I.D. card to the Federal Bureau of Investigation for review. The department of the attorney general shall provide the information subject to the rules and regulations promulgated by the attorney general regarding the production of the information.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-31. Time limitation on actions on I.D. card applications.

Action to approve or deny an application of an individual for an I.D. card shall be taken as expeditiously as possible by the licensing authority, but that action shall be taken within ninety (90) days after receipt of the application unless the licensing authority requires additional information from the I.D. card applicant. In that event, or if additional facts are required to satisfy the requirements of this chapter, or if the applicant has not submitted all the required information, the ninety-day (90) period for action by the licensing authority shall commence when all the information is received by the licensing authority.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-32. Request for hearing upon notice of denial of I.D. card application.

After receipt of written notice from the licensing authority of denial of an I.D. card, the I.D. card applicant may request a hearing in the same manner and in accordance with the same procedure as that provided in § 5-57-20(b) .

History of Section. P.L. 1977, ch. 248, § 1.

5-57-33. Grounds and procedure for suspension or revocation of I.D. cards.

  1. For purposes of this section only, when the term “alarm agent” is used, it also applies to an individual required to obtain a permanent I.D. card from the licensing authority or a temporary I.D. card from an alarm business subject to this chapter.
  2. Alarm agent I.D. cards may be suspended or revoked by the licensing authority in the manner prescribed in this section if the cardholder has:
    1. Been found to have violated any of the provisions of this chapter or any rule or regulation of the licensing authority if the licensing authority determines that the violation reflects unfavorably upon the fitness of the I.D. cardholder to function as an alarm agent;
    2. Knowingly and willfully given any material false information to the licensing authority in connection with an application for an I.D. card or a renewal or reinstatement of an I.D. card under this chapter or in the submission of any material fact to the licensing authority; or
    3. Been convicted in any jurisdiction of a felony or a misdemeanor if the licensing authority finds that conviction to reflect unfavorably on the fitness of the I.D. cardholder to function as an alarm agent.
  3. Prior to suspension or revocation of an I.D. card, the licensing authority shall promptly notify the I.D. cardholder and the alarm business by which the cardholder is employed or engaged of the proposed action presenting in reasonable detail the ground or grounds for suspension or revocation. The I.D. cardholder may request a hearing in the same manner and in accordance with the same procedure as that provided in § 5-57-25(b) .
  4. In the event that the licensing authority suspends or revokes an I.D. card, the cardholder, upon receipt of the notice of suspension or revocation, shall cease to perform any services related to the alarm business.
  5. Both the I.D. cardholder and the alarm business that employs him or her or engages him or her shall be notified by the licensing authority of final action to suspend or revoke an I.D. card.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-34. Nontransferability of I.D. cards.

No I.D. card issued pursuant to the provisions of this chapter shall be transferable. I.D. cards issued by the licensing authority must be surrendered to the licensing authority by the I.D. cardholder or employer of the cardholder upon termination of employment. A new application for an I.D. card must be submitted to the licensing authority if the I.D. cardholder is subsequently employed by another alarm business. Temporary I.D. cards issued by alarm businesses must also be surrendered to the alarm business issuing that card by the I.D. cardholder upon termination of employment or association with the alarm business. Willful and knowing refusal upon request of the licensing authority or the alarm business to return an I.D. card is a misdemeanor. No new application or fee shall be required of a cardholder who, following voluntary termination, returns to employment with the same alarm business if reinstatement takes place within six (6) months of the issuance of the original or renewal I.D. card. After notification of reinstatement, the licensing authority shall forward the reclaimed cardholder’s I.D. card to the employing alarm business for dispersal to the cardholder. The re-issued I.D. card shall expire two (2) years from the original date of issue. The break in service between employment, termination, and re-employment of the cardholder with the alarm business shall be documented on the next application for renewal submitted at the required time to the licensing authority.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1979, ch. 219, § 1.

5-57-35. Renewal and replacement of I.D. cards — Notification of changes.

  1. I.D. cards issued by the licensing authority shall be valid for a period of two (2) years. An I.D. card renewal form must be filed by the cardholder with the licensing authority not less than thirty (30) days prior to the expiration of the I.D. card. The fee for renewal of an I.D. card shall be fifteen dollars ($15.00) and shall be paid into the general fund.
  2. The licensing authority may refuse to renew an I.D. card on any of the grounds stated in § 5-57-19(1) , and the licensing authority shall promptly notify the I.D. cardholder of its intent to refuse to renew the license. The I.D. cardholder may, within fifteen (15) days after receipt of the notice of intent to refuse to renew an I.D. card, request a hearing on that refusal in the same manner and in accordance with the same procedure as that provided in § 5-57-20(b) .
  3. An alarm business shall notify the licensing authority within ten (10) days after the death or termination of employment of any of its employees or of any individual associated with the alarm business who holds an I.D. card issued by it or by the licensing authority.
  4. There shall be a five-dollar ($5.00) charge for the issuance of a duplicate I.D. card to replace a lost, damaged, or destroyed original or renewal I.D. card. Fees for the replacement shall be paid into the general fund.

History of Section. P.L. 1977, ch. 248, § 1; P.L. 1978, ch. 119, § 1; P.L. 1979, ch. 219, §§ 1, 2; P.L. 2004, ch. 595, art. 30, § 7.

5-57-36. Expiration and renewal during suspension of use of an I.D. card.

An I.D. card shall be subject to expiration and renewal during the period in which the holder of the I.D. card is subject to an order of suspension.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-37. Activities of I.D. cardholders after notice of suspension or revocation of I.D. card.

After an alarm agent or any other individual required to obtain an I.D. card under this chapter has received a notice of suspension or revocation of his or her I.D. card, that individual shall not engage in the alarm business unless specifically authorized to do so by order of the licensing authority or by order of the superior court.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-38. Local governmental regulations of alarm business or alarm agents.

  1. Immediately upon the effective date of this chapter [September 1, 1977], no local governmental subdivision within this state shall enact any ordinance or promulgate any rules or regulations relating to the licensing of alarm businesses, alarm agents, or other individuals required to obtain an I.D. card under this chapter.
  2. Sixty (60) days after September 1, 1977, any provision of any legislation or rules or regulations of any local governmental subdivision within the state requiring the licensing of an alarm business or requiring that alarm agents or other individuals employed by or associated with an alarm business obtain I.D. cards are no longer effective.
  3. The provisions of this chapter are not intended to and do not prevent the legally constituted authority of any local governmental subdivision within the state by legislation, rules, or regulations, and within the police power of that local governmental subdivision, from requiring alarm businesses and/or alarm agents to register their names, addresses, and license certificate number or I.D. card number with the local governmental subdivision within which they operate. Those local governmental subdivisions may also require that alarm businesses and alarm agents shall be given reasonable notice of termination or suspension of licenses and I.D. cards. No fee may be charged nor may any application be required by any local governmental subdivision for that registration.
  4. Although this chapter preempts local governmental subdivisions from enacting any licensing legislation or promulgating licensing rules or regulations applicable to alarm business or alarm agents, local governmental authorities may, by legislation or reasonable rules or regulations, require alarm system users in their jurisdiction to obtain a permit at the time of installation and fix a nominal fee for those permits; those fees shall not exceed twenty-five dollars ($25.00).

History of Section. P.L. 1977, ch. 248, § 1.

5-57-39. Judicial review.

Any person aggrieved by any final action of the licensing authority under this chapter shall have the right of appeal directly to the superior court and shall be entitled to a trial de novo. After the superior court has acquired jurisdiction, all administrative action taken on that matter prior to this shall be stayed. The rights of the parties shall be determined by the court upon a trial of the matter or matters in controversy under rules governing the trial of other civil suits in the same manner and to the same extent as though the matter had been committed to the court in the first instance and there had been no intervening administrative or executive action or decision.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-40. Reinstatement of a revoked license or I.D. card.

The licensing authority shall have authority to consider a petition for reinstatement of a revoked alarm business license.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-41. Penalties for violations.

  1. Any person found guilty of violating any of the following provisions of this chapter shall be subject to a fine not to exceed five hundred dollars ($500), or imprisonment for a period not to exceed ninety (90) days, or both:
    1. Engaging in the alarm business without complying with § 5-57-14 ;
    2. Failure to obtain an I.D. card as required by § 5-57-29 ;
    3. Willful and knowing failure to file or maintain on file the surety bond as required by § 5-57-21 ;
    4. Willful and knowing failure of an alarm business to notify its subscribers of revocation of its license as required by § 5-57-25(c) ; and
    5. Willful and knowing failure to surrender a license certificate as required by § 5-57-27(b) or to surrender an I.D. card as required by § 5-57-34 .
  2. Any person found guilty of willfully and knowingly submitting false information of a material nature in any application for an alarm business license or for an I.D. card, or for renewal applications, shall be subject to a fine not to exceed five hundred dollars ($500), or imprisonment for a period not to exceed ninety (90) days, or both.

History of Section. P.L. 1977, ch. 248, § 1.

5-57-42. Appropriations.

The general assembly shall annually appropriate any sum that it deems necessary to carry out the purposes of this chapter and the state controller is authorized and directed to draw his or her orders upon the general treasurer for the payment of any sum or so much that may be required from time to time, upon the receipt by him or her of authenticated vouchers.

History of Section. P.L. 1978, ch. 119, § 1; P.L. 1979, ch. 219, § 1.

Chapter 58 Auctioneers [Repealed.]

5-58-1. [Repealed.]

History of Section. P.L. 1997, ch. 30, art. 33, § 1; P.L. 1998, ch. 119, § 1; Repealed by P.L. 2015, ch. 141, art. 20, § 10, effective June 30, 2015.

Compiler’s Notes.

P.L. 2015, ch. 82, § 8 and P.L. 2015, ch. 105, § 8 purported to amend 5-58-1 . However, this section had already been repealed by P.L. 2015, ch. 141, art. 20, § 10.

Former § 5-58-1 concerned licensing of auctioneers and apprentices.

Repealed Sections.

Former §§ 5-58-1 5-58-1 0 (P.L. 1978, ch. 370, 2; P.L. 1979, ch. 303, 1; P.L. 1982, ch. 144, 1; P.L. 1987, ch. 184, 10), concerning auctioneers, were repealed by P.L. 1995, ch. 370, art. 36, 1, effective July 1, 1995.

5-58-2. [Repealed.]

History of Section. P.L. 1997, ch. 30, art. 33, § 1; P.L. 1998, ch. 119, § 1; Repealed by P.L. 2015, ch. 141, art. 20, § 10, effective June 30, 2015.

Compiler’s Notes.

Former § 5-58-2 concerned auctioneer’s and apprentice’s bond.

5-58-3 — 5-58-5. [Repealed.]

Repealed Sections.

Sections 5-58-3 , 5-58-4, and 5-58-5 (P.L. 1997, ch. 30, art. 33, § 1), concerning actions on bonds and judgments, were repealed by P.L. 1998, ch. 119, § 3, effective July 3, 1998.

5-58-6. [Repealed.]

History of Section. P.L. 1997, ch. 30, art. 33, § 1; Repealed by P.L. 2015, ch. 141, art. 20, § 10, effective June 30, 2015.

Compiler’s Notes.

Former § 5-58-6 concerned announcement of conditions of sale.

5-58-7. [Repealed.]

History of Section. P.L. 1997, ch. 30, art. 33, § 1; Repealed by P.L. 2015, ch. 141, art. 20, § 10, effective June 30, 2015.

Compiler’s Notes.

Former § 5-58-7 concerned auctioneer’s commission and apprentice’s wage.

5-58-8. [Repealed.]

History of Section. P.L. 1997, ch. 30, art. 33, § 1; P.L. 1998, ch. 119, § 1; Repealed by P.L. 2015, ch. 141, art. 20, § 10, effective June 30, 2015.

Compiler’s Notes.

Former § 5-58-8 concerned regulation of sales.

5-58-9. [Repealed.]

History of Section. P.L. 1997, ch. 30, art. 33, § 1; Repealed by P.L. 2015, ch. 141, art. 20, § 10, effective June 30, 2015.

Compiler’s Notes.

Former § 5-58-9 concerned officers of mortgagee forbidden to act as auctioneer in foreclosure.

5-58-10. [Repealed.]

History of Section. P.L. 1997, ch. 30, art. 33, § 1; Repealed by P.L. 2015, ch. 141, art. 20, § 10, effective June 30, 2015.

Compiler’s Notes.

Former § 5-58-10 concerned penalty for violations.

5-58-11. [Repealed.]

History of Section. P.L. 1998, ch. 119, § 2; Repealed by P.L. 2015, ch. 141, art. 20, § 10, effective June 30, 2015.

Compiler’s Notes.

Former § 5-58-11 concerned severability.

Chapter 59 Prosthetist and Prosthetic Facilities [Repealed.]

5-59-1 — 5-59-9. [Repealed.]

Repealed Sections.

This chapter (P.L. 1982, ch. 123, § 1; P.L. 1989, ch. 126, art. 26, § 18; P.L. 1995, ch. 370, art. 40, § 30; P.L. 2001, ch. 77, art. 14, § 22), relating to prosthetists and prosthetic facilities, was repealed by P.L. 2006, ch. 129, § 1, and P.L. 2006, ch. 170, § 1, effective January 1, 2007.

Chapter 59.1 Rhode Island Orthotics and Prosthetics Practices [Repealed.]

5-59.1-1. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-1 concerned legislative intent.

5-59.1-2. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-2 concerned short title.

5-59.1-3. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; P.L. 2009, ch. 310, § 38; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-3 concerned definitions.

5-59.1-4. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-4 concerned licensing of practitioners.

5-59.1-5. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; P.L. 2007, ch. 73, art. 39, § 20; P.L. 2012, ch. 241, art. 9, § 22; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-5 concerned application for orthotic or prosthetic license.

5-59.1-6. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-6 concerned qualifications for license.

5-59.1-7. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-7 concerned use of “licensed prosthetist” or “licensed orthotist” title.

5-59.1-8. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-8 concerned exceptions.

5-59.1-9. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-9 concerned license and biannual renewal required.

5-59.1-10. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; P.L. 2009, ch. 310, § 38; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-10 concerned grandfather clause.

5-59.1-11. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-11 concerned limitation on provisions of care and services.

5-59.1-12. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; P.L. 2007, ch. 73, art. 39, § 20; P.L. 2012, ch. 241, art. 9, § 22; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-12 concerned relicensing and renewal.

5-59.1-13. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-13 concerned rules and regulations.

5-59.1-14. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-14 concerned responsibilities of the department.

5-59.1-15. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-15 concerned penalty for violations.

5-59.1-16. [Repealed.]

History of Section. P.L. 2006, ch. 129, § 2; P.L. 2006, ch. 170, § 2; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-16 concerned severability.

5-59.1-17. [Repealed.]

History of Section. P.L. 2011, ch. 262, § 1; P.L. 2011, ch. 268, § 1; Repealed by P.L. 2015, ch. 141, art. 20, § 11, effective June 30, 2015.

Compiler’s Notes.

Former § 5-59.1-17 concerned advisory board of orthotics and prosthetics practice; composition; appointment and terms; and powers and duties.

Chapter 60 Athletic Trainers

5-60-1. Short title.

This chapter shall be known and may be cited as the “Rhode Island Athletic Trainers Chapter.”

History of Section. P.L. 1983, ch. 307, § 1.

Collateral References.

Medical malpractice liability of sports medicine care providers for injury to, or death of, athlete. 33 A.L.R.5th 619.

5-60-2. Definitions.

As used in this chapter:

  1. “Athletic trainer” means a person with the specific qualifications established in § 5-60-10 who, upon the direction of his or her team physician and/or consulting physician, carries out the practice of athletic training to athletic injuries incurred by athletes in preparation of, or participation in, an athletic program being conducted by an educational institution under the jurisdiction of an interscholastic or intercollegiate governing body, a professional athletic organization, or a board-sanctioned amateur athletic organization; provided, that no athlete shall receive athletic training services if classified as geriatric by the consulting physician. No athlete shall receive athletic training services if non-athletic or age-related conditions exist or develop that render the individual debilitated or non-athletic. To carry out these functions, the athletic trainer is authorized to utilize modalities such as heat, light, sound, cold, electricity, exercise, or mechanical devices related to care and reconditioning. The athletic trainer, as defined in this chapter, shall not represent himself or herself, or allow an employer to represent him or her to be, any other classification of healthcare professional governed by a separate and distinct practice act. This includes billing for services outside of the athletic trainer’s scope of practice, including, but not limited to, services labeled as physical therapy.
  2. “Board” means the Rhode Island board of athletic trainers established under § 5-60-4 .
  3. “Department of health” means the department of state under which the board of athletic trainers is listed.
  4. “Director” means the director or state official in charge of the department of health.

History of Section. P.L. 1983, ch. 307, § 1; P.L. 1999, ch. 423, § 1; P.L. 1999, ch. 508, § 1.

5-60-3. Practices not authorized.

Nothing in this chapter shall be construed to authorize the practice of medicine, or any of its branches, by any person not licensed by the department of health.

History of Section. P.L. 1983, ch. 307, § 1.

5-60-4. Board — Composition — Appointment, terms, oaths, and removal of members — Officers — Meetings.

  1. The director of the department of health, with the approval of the governor, shall appoint the members of the Rhode Island board of athletic trainers, which shall be composed of three (3) licensed athletic trainers and one public member and one physician licensed to practice medicine and with an interest in sports medicine. In making appointments to the board, the director shall give consideration to recommendations made by professional organizations of athletic trainers and physicians. Each appointee shall be licensed and practicing in the state, except that the director, in appointing the athletic trainer members of the first board, may appoint any practicing athletic trainer who possesses the qualification required by § 5-60-10 . To qualify as a member, a person must be a citizen of the United States and a resident of the state for five (5) years immediately preceding appointment.
  2. The members of the board shall be appointed for terms of three (3) years, which expire on August 1 of even-numbered years, except that in making the initial appointments, the director shall designate one member to serve one year; two (2) members to serve two (2) years; and two (2) members to serve three (3) years. In the event of death, resignation, or removal of any member, the vacancy shall be filled for the unexpired portion of the term in the same manner as the original appointment. The director may remove any member for cause at any time prior to the expiration of his or her term. No member shall serve for more than two (2) consecutive three-year (3) terms.
  3. Each appointee to the board shall qualify by taking the constitutional oath of office within thirty (30) days from the date of his or her appointment. On presentation of the oath, the director shall issue commissions to appointees as evidence of their authority to act as members of the board.
  4. The board shall elect from its members for a term of one year, a chairperson, vice-chairperson, and secretary-treasurer, and may appoint committees that it considers necessary to carry out its duties. The board shall meet at least two (2) times a year. Additional meetings may be held on the call of the chairperson or at the written request of any three (3) members of the board. The quorum required for any meeting of the board shall be three (3) members. No action by the board or its members has any effect unless a quorum of the board is present.

History of Section. P.L. 1983, ch. 307, § 1.

5-60-5. Board — Powers and duties.

Subject to the approval of the director, the board has the powers and duties to:

  1. Make rules and regulations consistent with this chapter that are necessary for the performance of its duties.
  2. Prescribe application forms for license applicants.
  3. Keep a complete record of all licensed athletic trainers and prepare annually a roster showing the names and addresses of all licensed athletic trainers, and make available a copy of the roster to any person requesting it on payment of a fee established by the department sufficient to cover the costs of the roster.
  4. Keep a permanent record of all proceedings under this chapter.
  5. Issue licenses to qualified applicants.
  6. Conduct hearings to deny, revoke, suspend, or refuse renewal of licenses under this chapter, and issue subpoenas to compel witnesses to testify or produce evidence at the hearings.

History of Section. P.L. 1983, ch. 307, § 1; P.L. 2002, ch. 176, § 1.

5-60-6, 5-60-7. [Reserved.]

5-60-8. [Repealed.]

History of Section. P.L. 1983, ch. 307, § 1; Repealed by P.L. 2002, ch. 176, § 2, effective June 25, 2002.

Compiler’s Notes.

Former § 5-60-8 concerned exercise of board’s powers by department.

5-60-9. License required to use title “athletic trainer.”

No person may use the title “athletic trainer” or perform the duties of an athletic trainer, unless licensed by the state of Rhode Island to perform those duties.

History of Section. P.L. 1983, ch. 307, § 1; P.L. 1999, ch. 423, § 1; P.L. 1999, ch. 508, § 1.

5-60-10. Qualifications of athletic trainers.

  1. An applicant for an athletic trainer license must possess one of the following qualifications:
    1. Give proof of graduation from an accredited college or university and have met the following minimum athletic-training-curriculum requirements established by the board, by completing the following specific course requirements:
      1. Human anatomy;
      2. Human physiology;
      3. Physiology of exercise;
      4. Applied anatomy and kinesiology;
      5. Psychology (2 courses);
      6. First aid and CPR;
      7. Nutrition;
      8. Remedial exercise;
      9. Personal, community, and school health;
      10. Techniques of athletic training;
      11. Advanced techniques of athletic training; and
      12. Clinical experience in accordance with national standards and as approved by the director.
    2. Show proof acceptable to the board of education and experience of equal caliber to that specified in subsection (a)(1).
    3. Have passed the required examination approved by the department.
  2. On and after January 1, 2004, an applicant for initial licensure shall be required to demonstrate:
    1. Proof of graduation from an accredited college or university and shall have met minimum athletic training requirements as established by department regulation; and
    2. Proof of having passed the required examination, approved by the department, and shall have been certified by the national certifying body recognized by the National Athletic Trainers Association (NATA).

History of Section. P.L. 1983, ch. 307, § 1; P.L. 1984, ch. 69, § 1; P.L. 2000, ch. 196, § 1; P.L. 2002, ch. 176, § 1.

5-60-11. Fees.

Applicants for athletic trainer licenses shall pay a license fee, and, if applicable, a biennial license renewal fee as set forth in § 23-1-54 . Any person allowing their license to lapse shall pay a late fee as set forth in § 23-1-54 .

History of Section. P.L. 1983, ch. 307, § 1; P.L. 1993, ch. 138, art. 71, § 10; P.L. 2001, ch. 77, art. 14, § 23; P.L. 2002, ch. 176, § 1; P.L. 2012, ch. 241, art. 9, § 23.

5-60-12. Applications for licenses.

  1. An applicant for an athletic trainer license shall submit an application to the department on the prescribed forms and shall submit the fee listed in § 5-60-11 .
  2. The applicant shall be entitled to an athletic trainer license if he or she possesses the qualifications enumerated in § 5-60-10 , pays the license fee established in § 5-60-11 , and has not committed an act that constitutes grounds for denial of a license under § 5-60-14 .

History of Section. P.L. 1983, ch. 307, § 1; P.L. 2002, ch. 176, § 1.

5-60-13. Expiration and renewal of licenses.

A license issued under this chapter shall expire on the thirtieth day of June of every odd-numbered year. Licenses shall be renewed according to procedures established by the department and upon payment of the renewal fees established in § 5-60-11 . Beginning with the renewal application due July 1, 2003, and every renewal year thereafter, each licensed athletic trainer who wishes to continue licensure as an athletic trainer shall present satisfactory evidence to the board that he or she has completed the continuing education requirements established by the board through regulation.

History of Section. P.L. 1983, ch. 307, § 1; P.L. 1984, ch. 69, § 1; P.L. 2002, ch. 176, § 1.

5-60-14. Grounds for refusal or revocation of licenses.

The board may refuse to issue a license to an applicant or may suspend, revoke, or refuse to renew the license of any licensee if he or she has:

  1. Been convicted of a felony, the record of conviction being conclusive evidence of conviction if the department determines after investigation that the person has not been sufficiently rehabilitated to warrant the public trust;
  2. Secured a license under this chapter by fraud or deceit; or
  3. Violated or conspired to violate this chapter or rules or regulations issued pursuant to this chapter.

History of Section. P.L. 1983, ch. 307, § 1; P.L. 2021, ch. 400, § 17, effective July 13, 2021; P.L. 2021, ch. 401, § 17, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 17, and P.L. 2021, ch. 401, § 17 enacted identical amendments to this section.

5-60-15. Appeals.

An appeal from any decision or order of the board may be taken by any aggrieved party in the manner provided for in the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1984, ch. 69, § 3.

Repealed Sections.

The former section (P.L. 1983, ch. 307, § 1), concerning hearing procedures upon denial, revocation or suspension of an athletic trainer’s license, was repealed by P.L. 1984, ch. 69, § 2, effective May 3, 1984.

5-60-16. [Repealed.]

History of Section. P.L. 1983, ch. 307, § 1; Repealed by P.L. 1984, ch. 69, § 2, effective May 3, 1984.

Compiler’s Notes.

Former § 5-60-16 concerned judicial review of administrative decisions under this chapter. For present provisions of law, see § 5-60-15 .

5-60-17. Penalty for violations.

Any person who violates a provision of this chapter is guilty of a misdemeanor offense and upon conviction shall be punishable by a fine not less than twenty-five dollars ($25.00) nor more than five hundred dollars ($500).

History of Section. P.L. 1983, ch. 307, § 1.

5-60-18. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1989, ch. 126, art. 26, § 19; P.L. 1995, ch. 370, art. 40, § 31.

5-60-19. Severability.

If any provision of this chapter, or the application of this chapter to any person or circumstances, is held invalid, that invalidity shall not affect other provisions or application of the chapter that can be given effect without the invalid provision or application, and to this end the provisions of this chapter are declared to be severable.

History of Section. P.L. 1983, ch. 307, § 1.

Chapter 61 Telephone Sales Solicitation Act

5-61-1. “Telephone Sales Solicitation Act.”

As used in this chapter, “telephone solicitation” means the engagement of a telephone conversation for the purpose of encouraging a person to purchase personal property, investment opportunities, goods or services, or for the purpose of gathering information for sales solicitation.

History of Section. P.L. 1987, ch. 227, § 1; P.L. 1991, ch. 327, § 1; P.L. 1999, ch. 456, § 1.

Collateral References.

Validity, construction, and application of state statute or law pertaining to telephone solicitation. 44 A.L.R.5th 619.

5-61-2. Definitions.

As used in this chapter:

  1. “Department” means the department of attorney general.
  2. “Hours of operation” means Monday through Friday, except a state or federal holiday, nine o’clock (9:00 a.m.) to six o’clock (6:00 p.m.); Saturday ten o’clock (10:00 a.m.) to five o’clock (5:00 p.m.).
  3. “Item” means any goods and services and includes coupon books that are to be used with businesses other than the seller’s business.
  4. “Owner” means a person who owns or controls ten percent (10%) or more of the equity of, or otherwise has claim to ten percent (10%) or more of the net income of, a telephonic seller.
  5. “Person” includes an individual, firm, association, corporation, partnership, joint venture, or any other business entity.
  6. “Principal” means an owner; an executive officer of a corporation; a general partner of a partnership; a sole proprietor of a sole proprietorship; a trustee of a trust; or any other individual with similar supervisory functions with respect to any person.
  7. “Purchaser” or “prospective purchaser” means a person who is solicited to become, or does become, obligated to a telephonic seller.
  8. “Salesperson” means any individual employed, appointed, or authorized by a telephonic seller, whether referred to by the telephonic seller as an agent, representative, or independent contractor, who attempts to solicit or solicits a sale on behalf of the telephonic seller. The principals of a seller are themselves salespersons if they solicit sales on behalf of the telephonic seller.
  9. “Telephonic seller” or “seller” means a person who, on his or her own behalf or through salespersons or through the use of an automatic-dialing-announcing device, causes a telephone solicitation, or attempted telephone solicitation, to occur that meets the criteria specified as follows:
    1. A telephone solicitation, or attempted telephone solicitation, where the telephonic seller initiates or engages in telephonic contact with a prospective purchaser and represents or implies one or more of the following:
      1. That a prospective purchaser who buys one or more items will also receive additional or other items, whether or not of the same type as purchased, without “further cost.” For the purposes of this subdivision, “further cost” does not include actual postage or common carrier delivery charges, if any;
      2. That a prospective purchaser will receive a prize or gift if the person also encourages the prospective purchaser to purchase or rent any goods or services or pay any money, including, but not limited to, a delivery or handling charge;
      3. That a prospective purchaser who buys office equipment or supplies will, because of some unusual event or imminent price increase, be able to buy these items at prices that are below those that are usually charged or will be charged for the items;
      4. That the seller is a person other than the person he or she is;
      5. That the items for sale are manufactured or supplied by a person other than the actual manufacturer or supplier;
      6. That the seller is offering to sell the prospective purchaser any gold, silver, or other minerals, or any interest in oil, gas, or mineral field, wells, or exploration sites.
    2. Solicitation or attempted solicitation that is made by telephone in response to inquiries generated by advertisements or other form of mail or any types of unrequested mailing or advertisement sent by the seller that requires a consumer to respond telephonically for further information where it is revealed that the seller is offering to sell to the prospective purchaser on behalf of the telephonic seller where it is represented or implied that the seller is offering to sell to the prospective purchaser any gold, silver, or other metals; diamonds, rubies, sapphires, or other stones; coal or other minerals; or any interest in oil, gas, or mineral fields, wells, or exploration sites; or that the seller is offering to sell any goods or services not specifically exempted in subsection (10).
  10. For purposes of this section, “telephonic seller” or “seller” does not include any of the following:
    1. A person selling a security that has been qualified for sale by the director of business regulation pursuant to § 7-11-301 et seq., or is exempt under § 7-11-401 et seq. from the necessity to qualify.
    2. A person licensed pursuant to § 5-20.5-6 , when the solicited transaction is governed by that law.
    3. A person licensed pursuant to chapter 1.2 of title 7, when the solicited transaction is governed by that law.
    4. A person soliciting the sale of a franchise that is registered pursuant to § 19-28.1-5 or is exempt under § 19-28.1-6 from the necessity of registering.
    5. A person primarily soliciting the sale of a newspaper of general circulation, as defined in § 9-19.1-1 , a magazine or periodical, or contractual plans, including book and record clubs: (A) Under which the seller provides the consumer with a form that the consumer may use to instruct the seller not to ship the offered merchandise, and that is regulated by the Federal Trade Commission trade regulation rule concerning “Use of Negative Option Plans by Sellers in Commerce, 16 C.F.R. Part 425”; or (B) Not covered under subsection (10)(v)(A), such as continuity plans, subscription arrangements, standing-order arrangements, supplements, and series arrangements under which the seller periodically ships merchandise to a consumer who has consented in advance to receive the merchandise on a periodic basis.
    6. A person soliciting business from prospective purchasers who have previously purchased from the person making the solicitation or the business enterprise for which the person is calling.
    7. Any supervised financial institution or parent, subsidiary, or affiliate. As used in this paragraph, “supervised financial institution” means any commercial bank, trust company, savings and loan association, credit union, industrial loan company, personal property broker, consumer finance lender, commercial finance lender, or insurer; provided, that the institution is subject to supervision by an official or agency of this state or of the United States.
    8. A person soliciting the sale of services provided by a cable television system licensed or franchised pursuant to chapter 19 of title 39.
    9. A person or affiliate of a person whose business is regulated by the public utilities commission.
    10. A person soliciting the sale of a farm product, as defined in § 43-3-18 , if the solicitation neither intends to, nor actually results in, a sale that costs the purchaser in excess of one hundred dollars ($100).
    11. An issuer, or subsidiary of an issuer, that has a class of securities subject to § 12 of the Securities Exchange Act of 1934, 15 U.S.C. § 78l, and that is either registered or exempt from registration under paragraph (A), (B), (C), (E), (F), (G), or (H) of subsection (g) of that section.
    12. A person soliciting sales that are exempted under § 6-13-5 (Unfair Sales Practices) or § 6-13.1-4 (Deceptive Trade Practices).
    13. A person soliciting exclusively the sale of telephone answering services to be provided by that person or that person’s employer.

History of Section. P.L. 1987, ch. 227, § 1; P.L. 1991, ch. 327, § 1; P.L. 1999, ch. 456, § 1; P.L. 2005, ch. 36, § 1; P.L. 2005, ch. 72, § 1.

5-61-3. Registration.

  1. Not less than ten (10) days prior to doing business in this state, a telephone sales solicitation operation or telephonic seller shall register with the department by filing with the consumer protection unit of the department the information required by § 5-61-4 and a filing fee of one hundred dollars ($100). A seller is deemed to do business in this state if the seller solicits prospective purchasers from locations in this state or solicits prospective purchasers who are located in this state. The information required by § 5-61-4 shall be submitted on a form provided by the attorney general. The information shall be verified by a declaration signed by each principal of the telephone sales solicitation operation under penalty of perjury. The declaration shall specify the date and location of signing. Information submitted pursuant to § 5-61-4(10) or (11) shall be clearly identified and appended to the filing.
  2. Registration of a telephone sales solicitation business shall be valid for one year from its effective date and may be annually renewed by making the filing required by § 5-61-4 and paying a filing fee of one hundred dollars ($100), which shall be deposited into the general fund as general revenue.
  3. Whenever, prior to expiration of a seller’s annual registration, there is a material change in the information required by § 5-61-4 , the seller, within ten (10) days, shall file an addendum updating the information with the consumer protection unit of the department. Changes in salespersons soliciting on behalf of the seller shall be updated by addendums filed, if necessary, in quarterly intervals computed from the effective date of registration.
  4. Upon receipt of a filing and filing fee pursuant to subsection (a) or (b) of this section, the department shall send the telephonic seller a written confirmation of receipt of the filing no later than ten (10) business days. If the seller has more than one business location, the written confirmation shall be sent to the principal business location identified in the seller’s filing and the seller may make copies so that the seller has one for each business location. The seller shall post the confirmation of receipt of filing, within ten (10) days of receipt, in a conspicuous place at each of the seller’s business locations. The seller shall not commence any telephone solicitations until the time that the written confirmation is received.
  5. The consumer protection unit of the department of attorney general may delay, reject, or revoke a registration upon review of the information contained in the filing of the registration form, or as a result of information relating to the conduct of the business operation.

History of Section. P.L. 1987, ch. 227, § 1; P.L. 1991, ch. 327, § 1; P.L. 1998, ch. 14, § 8.

5-61-3.1. Security.

  1. Each telephonic seller, pursuant to the provisions of this chapter, shall deliver and file with the consumer protection unit of the department before a confirmation of registration shall be issued or re-issued:
    1. A surety bond, written by a company recognized and approved by the commissioner of insurance within the department of business regulation and approved by that department with respect to its form, manner of execution, and sufficiency in due form to the state of Rhode Island; or
    2. An irrevocable letter of credit issued for the benefit of the telephonic seller by a bank whose deposits are insured by an agency of the federal government; or
    3. A certificate of deposit in a financial institution insured by an agency of the federal government that may be withdrawn only on the order of the department, except that the interest may accrue to the telephonic seller.
  2. The amount of bond, letter of credit, or certificate of deposit must be a minimum of thirty thousand dollars ($30,000). The department may, at its discretion, establish a bond of greater amount to ensure the general welfare of the public.
  3. The security set forth in subsection (a) of this section shall be limited to indemnify the purchaser only for actual damages. This security shall neither limit nor impair any right of recovery otherwise available pursuant to law, nor shall the amount of security be relevant in determining the amount of damage or other relief to which any purchaser shall be entitled. The security shall be accessible only after all other legal remedies have been exhausted. In the event the security is exhausted, the telephonic seller shall immediately notify the department, which shall cause any public notice that it deems appropriate to be given immediately.

History of Section. P.L. 1999, ch. 456, § 2.

5-61-3.2. Other grounds for denial of registration.

The department may delay, reject, or revoke a registration if the department finds that a telephonic seller or any person applying for registration as a telephonic seller, including, but not limited to, owners, operators, officers, directors, partners, or other individuals engaged in the management activities of a business entity:

  1. Has been convicted or found guilty of, or has entered a plea of guilty or a plea of nolo contendere to, racketeering or any offense involving fraud, theft, embezzlement, fraudulent conversion, or misappropriation of property;
  2. For purposes of this section, a plea of nolo contendere is a conviction;
  3. Has had entered against him or her or an affiliated business, an injunction, a temporary restraining order, or a final judgment or order, including a stipulated judgment or order, an assurance of voluntary compliance, or any similar document, in any civil or administrative action involving racketeering, fraud, theft, embezzlement, fraudulent conversion, or misappropriation of property or the use of any untrue or misleading representations in an attempt to sell or dispose of real or personal property or the use of any unfair, unlawful, or deceptive trade practice;
  4. Is subject to, or has been affiliated with, any company that is, or ever has been, subject to any injunction, temporary restraining order, or final judgment or order, including a stipulated judgment or order, an assurance of voluntary compliance, or any similar document, or any restrictive court order relating to a business activity as the result of any action brought by a governmental agency, including any action affecting any license to do business or practice an occupation or trade;
  5. Has at any time during the previous seven (7) years filed for bankruptcy, been adjudged bankrupt, or been reorganized because of insolvency;
  6. Has been a principal, director, officer, or trustee of, or a general or limited partner in, or had responsibilities as a manager in, any corporation, partnership, joint venture, or other entity that filed for bankruptcy, was adjudged bankrupt, or was reorganized because of insolvency within one year after the person held that position;
  7. Has been previously convicted of, or found to have been, acting as a salesperson or telephonic seller without a registration or whose registration has previously been refused, revoked, or suspended in any jurisdiction;
  8. Falsifies or willfully omits any material information asked for in any application, document, or record required to be submitted or retained under this chapter;
  9. Makes a material false statement in response to any request or investigation by the department;
  10. Refuses or fails, after notice, to produce any document or record or disclose any information required to be produced or disclosed under this chapter or the rules of the department; or
  11. Otherwise violates or is operating in violation of any of the provisions of this chapter or of the rules adopted or court orders issued pursuant to the provisions of this chapter.

History of Section. P.L. 1999, ch. 456, § 2; P.L. 2021, ch. 400, § 18, effective July 13, 2021; P.L. 2021, ch. 401, § 18, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 18, and P.L. 2021, ch. 401, § 18 enacted identical amendments to this section.

5-61-3.3. General disclosures.

  1. Within the first thirty (30) seconds of a telephone call, a telephonic seller or salesperson shall identify herself or himself by stating her or his true name, the company on whose behalf the solicitation is being made, and the consumer goods or services being sold.
  2. If a sale or an agreement to purchase is completed, the telephonic seller must inform the purchaser of her or his cancellation rights as provided in this chapter; state the registration number issued by the department for both the telephonic seller and the salesperson; and give the street address of the telephonic seller.
  3. All oral disclosures required by this section shall be made in a clear and intelligible manner.

History of Section. P.L. 1999, ch. 456, § 2.

5-61-3.4. Use of prerecorded or synthesized voice messages.

  1. A telephonic seller shall not use or connect to a telephone line an automatic-dialing-announcing device unless: (1) The subscriber has knowingly or voluntarily requested, consented to, permitted, or authorized receipt of the message; or (2) The message is immediately preceded by a live operator who obtains the subscriber’s consent before the message is delivered.
  2. This section does not apply to:
    1. Recorded messages from school districts to students, parents, or employees; or
    2. Messages advising employees of work schedules.
  3. Whenever the message is preceded by a live operator, the operator must, at the outset of the message, disclose:
    1. The name of the business, firm, organization, association, partnership, or entity for which the message is being made;
    2. The purpose of the message;
    3. The identity or kinds of goods or services the message is promoting; and
    4. If applicable, the fact that the message intends to solicit payment or commitment of funds.
  4. A telephonic seller shall not use an automatic-dialing-announcing device to make calls into or within this state, unless the device is designed and operated so as to create a disconnect signal or an on-hook condition that allows the subscriber’s line to be released within five (5) seconds after termination of the telephone call by the subscriber.

History of Section. P.L. 1999, ch. 456, § 2.

Collateral References.

Validity Under First Amendment of Statutes Limiting Automatic Dialing and Announcing Device (ADAD) and Robocalls. 48 A.L.R.7th Art. 1 (2020).

5-61-3.5. Do not call lists.

  1. No salesperson or telephonic seller shall make, or cause to be made, any unsolicited telephonic sales calls to any residential, mobile, or telephonic-paging-device telephone number unless the salesperson or telephonic seller has instituted procedures for maintaining a list of persons who do not wish to receive telephonic sales calls made by or on behalf of that person, in compliance with 47 C.F.R. Part 64 or 16 C.F.R. Part 310. Additionally, no person or entity conducting business in this state shall transmit, or cause to be transmitted, a text message advertisement to a cellular telephone or pager equipped with short message capability or any similar capability allowing the transmission of text messages. A text message advertisement is a message, the principal purpose of which is to promote the sale of goods or services to the recipient, consisting of advertising material for the lease, sale, rental, gift, offer, or disposition of realty, goods, services, or extension of credit.
    1. This section shall apply when a text message advertisement is transmitted to a telephone number assigned for a cellular telephone or pager service to a Rhode Island resident.
    2. This section shall not apply to text messages transmitted at the direction of a person or entity offering cellular telephone or pager service if the subscriber is offered an option not to receive those text messages.
    3. This section shall not apply to text messages transmitted by a business that has an existing relationship with the subscriber if the subscriber is offered an option not to receive text messages from that business.
    4. This section shall not apply to text messages transmitted by an affiliate of a business that has an existing relationship with the subscriber, but only if the subscriber has provided consent to the business with which he or she has the relationship to receive text messages from affiliates of that business. “Affiliate” means any company that controls, is controlled by, or is under the common control with, another company.
    5. This section shall not impose an obligation on a person or entity offering cellular or pager service to control the transmission of a text message unless the message is transmitted at the direction of that person or entity.
  2. Any person who violates any provision of this section is guilty of a misdemeanor, and upon conviction, shall be punished by a fine of not more than five hundred dollars ($500) per violation.

History of Section. P.L. 1999, ch. 456, § 2; P.L. 2003, ch. 98, § 1; P.L. 2003, ch. 216, § 1.

5-61-3.6. Hours of operation.

  1. No salesperson or telephonic seller shall make or cause to be made any unsolicited telephonic sales calls to any residential, mobile, or telephonic-paging-device telephone number except during hours of operation, as defined in § 5-61-2(2) .
  2. Any person who violates any provision of this section is guilty of a misdemeanor, and upon conviction, shall be punished by a fine of not more than five hundred dollars ($500) per violation.

History of Section. P.L. 1999, ch. 456, § 2.

5-61-4. Filing, information required.

Each filing pursuant to § 5-61-3 shall contain the following information:

  1. The name or names of the seller, including the name under which the seller is doing or intends to do business, if different from the name of the seller, and the name of any parent or affiliated organization:
    1. That will engage in business transactions with purchasers relating to sales solicited by the seller; or
    2. That accepts responsibility for statements made by or acts of the seller relating to sales solicited by the seller.
  2. The seller’s business form and place of organization and, if the seller is a corporation, a copy of its articles of incorporation and bylaws and amendments, or, if a partnership, a copy of the partnership agreement, or if operating under a fictitious business name, the location where the fictitious name is registered. All the same information shall be included for any parent or affiliated organization disclosed pursuant to subsection (1) of this section.
  3. The complete street address or addresses of all locations, designating the principal location from which the telephonic seller will be conducting business. If the principal business location of the seller is not in this state, then the seller shall also designate which of its locations within the state is its main location in the state.
  4. A listing of all telephone numbers to be used by the seller and the address where each telephone using each of these telephone numbers is located.
  5. The name of, and the office held by, the seller’s officers, directors, trustees, general and limited partners, sole proprietor, and owners, and the names of those persons who have management responsibilities in connection with the seller’s business activities.
  6. The complete address of the principal residence, the date and place of birth, and the driver’s license number and state of issuance of each of the persons whose names are disclosed pursuant to subsection (5) of this section.
  7. The name and principal residence address of each person the telephonic seller leaves in charge at each location from which the seller does business in this state, as defined in § 5-61-1 , and the business location for which each of these persons is or will be in charge.
  8. A statement, meeting the requirements of this subsection, as to any person identified pursuant to subsection (5) or (7) of this section who:
      1. Has been convicted of a felony or misdemeanor involving an alleged violation of this section, or fraud, theft, embezzlement, fraudulent conversion, or misappropriation of property;
      2. For purposes of this subsection (8)(i), a plea of nolo contendere is a conviction;
    1. Has had entered against him or her a final judgment or order in a civil or administrative action, including a stipulated judgment or order, if the complaint or petition in the civil or administrative action alleged acts constituting a violation of this section, fraud, theft, embezzlement, fraudulent conversion, or misappropriation of property, the use of untrue or misleading representations in an attempt to sell or dispose of real or personal property, or the use of unfair, unlawful, or deceptive business practices;
    2. Is subject to any currently effective injunction or restrictive court order relating to business activity as the result of an action brought by a federal, state, or local public agency or unit including, but not limited to, an action affecting any vocational license;
      1. Has at any time during the previous seven (7) tax years filed in bankruptcy; been adjudged a bankrupt; been reorganized due to insolvency; or been a principal director, officer, trustee, general or limited partner or had management responsibilities of any other corporation, partnership, joint venture, or business entity, that has filed or was adjudicated or reorganized during or within one year after the period that the person held that position.
      2. For the purposes of subsections 8(i), (8)(ii), and (8)(iii), the statement required by subsection (8) shall identify the person, the court, or administrative agency rendering the conviction, judgment, or order; the docket number of the matter; the date of the conviction, judgment, or order; and the name of the governmental agency, if any, that brought the action resulting in the conviction, judgment, or order. For the purposes of this subsection (8)(iv), the statement required by subsection (8) shall include the name and location of the person filing in bankruptcy, adjudged a bankrupt, or reorganized due to insolvency, and shall include the date thereof, the court that exercised jurisdiction, and the docket number of the matter.
  9. A list of names, including date of birth and place of birth and principal residence addresses, of salespersons who solicit on behalf of the telephonic seller and the names the salespersons use while soliciting.
  10. A copy of all sales information and literature (including, but not limited to, scripts, outlines, instructions, and information regarding how to conduct telephonic sales, sample introductions, sample closings, product information, and contest or premium-award information) provided by the telephonic seller to salespersons, or of which the seller informs the salespersons, and a copy of all written materials the seller sends to any prospective or actual purchaser.
  11. If the telephonic seller represents or implies, or directs salespersons to represent or imply, to purchasers that the purchaser will receive certain specific items or one or more items from among bonuses, prizes, or otherwise, the filing shall include the following:
    1. A list of the items offered;
    2. The value or worth of each item described to prospective purchasers and the basis for the valuation;
    3. The price paid by the telephonic seller to its supplier for each of these items and the name, address, and telephone number of each item’s supplier;
    4. If the purchaser is to receive fewer than all of the items described by the seller, the filing shall include the following:
      1. The manner in which the telephonic seller decides which item or items a particular prospective purchaser is to receive;
      2. The odds a single prospective purchaser has of receiving each described item;
      3. The name and address of each recipient who has, during the preceding 12 months (or if the seller has not been in business that long, during the period the telephonic seller has been in business) received the item having the greatest value and the item with the smallest odds of being received; and
    5. All rules, regulations, terms, and conditions a prospective purchaser must meet in order to receive the item.
  12. If the telephonic seller is offering to sell any metal, stone, or mineral, the filing shall include the following:
    1. The name, address, and telephone number of each of the seller’s suppliers and a description of each metal, stone, or mineral provided by the supplier;
    2. If possession of any metal, stone, or mineral is to be retained by the seller or will not be transferred to the purchaser until the purchaser has paid in full, the filing shall include the following:
      1. The address of each location where the metal, stone, or mineral will be kept;
      2. If not kept on premises owned by the seller or at an address or addresses set forth in compliance with subsection (12)(ii)(C), the name of the owner of the business at which the metal, stone, or mineral will be kept; and
      3. A copy of any contract or other document that evidences the seller’s right to store the metal, stone, or mineral at the address or addresses designated pursuant to subsection (12)(ii)(A);
    3. If the seller is not selling the metal, stone, or mineral from its own inventory, but instead purchases the metal, stone, or mineral to fill orders taken from purchases, the filing shall include copies of all contracts or other documents evidencing the seller’s ability to call upon suppliers to fill the seller’s orders;
    4. If the seller represents to purchasers that the seller has insurance or a surety bond of any type relating to a purchaser’s purchase of any metal, stone, or mineral from the seller, the filing shall include a complete copy of all these insurance policies and bonds; and
    5. If the seller makes any representation as to the earning or profit potential of purchases of any metal, stone, or mineral, the filing shall include data to substantiate the claims made. If the representation relates to previous sales made by the seller or a related entity, substantiating data shall be based on the experiences of at least fifty percent (50%) of the persons who have purchased the particular metal, stone, or mineral from the seller or related entity during the preceding six months (or if the seller or related entity has not been in business that long, during the period the seller or related entity has been in business) and shall include the raw data upon which the representation is based, including, but not limited to, all of the following:
      1. The length of time the seller or related entity has been selling the particular metal, stone or mineral being offered;
      2. The number of purchasers from the seller or related entity known to the seller or related entity to have made at least the same earnings or profit as those represented; and
      3. The percentage that the number disclosed pursuant to subsection (12)(v)(B) represents of the total number of purchasers from the seller or related entity of the particular metal, stone, or mineral.
  13. If the telephonic seller is offering to sell an interest in oil, gas, or mineral fields, wells, or exploration sites, the filing shall include disclosure of the following:
    1. The seller’s ownership interest, if any, in each field, well, or site being offered for sale;
    2. The total number of interests to be sold in each field, well, or site being offered for sale;
    3. If, in selling an interest in any particular field, well, or site, reference is made to an investigation of these fields, wells, or sites by the seller or anyone else, the filing shall include the following:
      1. The name, business address, telephone number, and professional credentials of the person or persons who made the investigation; and
      2. A copy of the report and documents relating to the investigation prepared by the person or persons;
    4. If the seller makes any representation as to the earning or profit potential of purchases of any interest in these fields, wells, or sites, the filing shall include data to substantiate the claims made. If the representation relates to previous sales made by the seller or related entity, then substantiating data shall be based on the experiences of at least fifty percent (50%) of the purchasers of the particular interests from the seller or the related entity during the preceding six months (or if the seller has not been in business that long, during the period the seller or related entity has been in business) and shall include the raw data upon which the representation is based, including, but not limited to, all of the following:
      1. The length of time the seller or related entity has been selling the particular interests in the fields, wells, or sites being offered;
      2. The number of purchasers of the particular interests from the seller or related entity known to the seller to have made, at least the same earnings as those represented; and
      3. The percentage the number disclosed pursuant to subsection (13)(iv)(B) represents of the total number of purchasers of the particular interests from the seller or related entity.

History of Section. P.L. 1987, ch. 227, § 1; P.L. 1991, ch. 327, § 1; P.L. 2009, ch. 310, § 39.

5-61-5. Criminal penalties.

Any person including, but not limited to, the seller, a salesperson, agent or representative of the seller, or an independent contractor, who willfully violates any provision of this chapter or who directly or indirectly employs any device, scheme, or artifice to deceive in connection with the offer or sale by any telephonic seller, or who willfully, directly, or indirectly, engages in any act, practice, or course of business that operates or would operate as a fraud or deceit upon any person in connection with a sale by any telephonic seller, upon conviction, shall be punished as follows:

  1. By a fine not exceeding ten thousand dollars ($10,000) for each unlawful transaction;
  2. By imprisonment in the state prison for not more than one year; or
  3. By both fine and imprisonment specified in subsections (1) and (2).

History of Section. P.L. 1987, ch. 227, § 1; P.L. 1999, ch. 456, § 1.

5-61-5.1. Remedies — Injunctive relief — Civil penalties.

  1. Any purchaser may have a right of action against a telephonic seller who is in material violation of this chapter. The purchaser may recover triple the amount actually paid to the telephonic seller. In addition to any judgment awarded to the purchaser, the court may allow reasonable attorney’s fees to be taxed as cost.
  2. The superior court of this state shall have jurisdiction to prevent and restrain violations of this chapter. The court may issue appropriate decrees upon consent and stipulation by the parties. The court may also issue restraining orders. Under no circumstances shall the state be required to post bond in any action under this section.
  3. The department may institute proceedings to prevent and restrain violations of this chapter, as provided in subsection (b).
  4. The department may bring an action to obtain a declaratory judgment that an act or practice violates the provisions of this chapter.
  5. Any person may institute proceedings for injunctive relief, temporary or permanent, as provided in subsection (b), against threatened loss or damage by a violation of this chapter. A preliminary injunction may be issued upon a showing that the danger of irreparable loss or damage is immediate and, within the court’s discretion, the execution of a property bond against damages for an injunction improvidently granted. If the court issues a permanent injunction, the plaintiff shall be awarded reasonable attorney’s fees, filing fees, and reasonable costs of the suit. Reasonable costs of the suit may include, but not be limited to, the expenses of discovery and document production.
  6. In any action brought under this section, the court may make appropriate orders, including appointment of a master or receiver or sequestration of assets, to reimburse purchasers found to have been damaged; to carry out a transaction in accordance with the purchaser’s reasonable expectations; or to grant other appropriate relief. The court may assess expenses of a master or receiver against a telephonic seller.
  7. In addition to injunctive relief authorized pursuant to subsection (b), any person, firm, corporation, or other entity who violates this chapter may be liable for a civil penalty in a suit by the department of not more than ten thousand dollars ($10,000) for each violation. The department or the court may waive any civil penalty or other fines or costs if the person has previously made full restitution or reimbursement or has paid actual damages to the purchasers who have been injured by the unlawful act or practice.

History of Section. P.L. 1999, ch. 456, § 2.

5-61-6. Severability.

If any provision of this chapter or any rule or regulation made under this chapter, or the application of this chapter to any person or circumstance is held invalid by any court of competent jurisdiction, the remainder of the chapter, rule, or regulation and the application of the provision to other persons or circumstances shall not be affected. The invalidity of any section or sections or parts of any section of this chapter shall not affect the validity of the remainder of the chapter.

History of Section. P.L. 1987, ch. 227, § 1.

Chapter 62 Works of Art — Artists’ Rights

5-62-1. [Reserved.]

5-62-2. Definitions.

Whenever used in this chapter except where the context clearly requires otherwise, the terms listed below have the following meanings:

  1. “Artist” means the creator of a work of fine art or, in the case of multiples, the person who conceived or created the image, that is contained in or constitutes the master from which the individual print was made.
  2. “Art merchant” means a person who is in the business of dealing, exclusively or non-exclusively, in works of fine art or multiples, or a person who, by his or her occupation, holds himself or herself out as having knowledge or skill peculiar to those works, or to whom that knowledge or skill may be attributed by his or her employment of an agent or other intermediary who, by his or her occupation, holds himself or herself out as having that knowledge or skill. The term “art merchant” includes an auctioneer who sells art works at public auction, and except in the case of multiples, includes persons, not otherwise defined or treated as art merchants in this section, who are consignors or principals of auctioneers.
  3. “Author” or “authorship” refers to the creator of a work of fine art or multiple or to the period, culture, source, or origin, as the case may be, with which the creation of that work is identified in the description of the work.
  4. “Certificate of authenticity” means a written statement by an art merchant confirming, approving, or attesting to the authorship of a work of fine art or multiple, which is capable of being used to the advantage or disadvantage of some person.
  5. “Conservation” means acts taken to correct deterioration and alteration and acts taken to prevent, stop, or retard deterioration.
  6. “Counterfeit” means a work of fine art or multiple made, altered, or copied, with or without intent to deceive, in any manner that it appears or is claimed to have an authorship that it does not in fact possess.
  7. “Craft” means a functional or nonfunctional work individually designed and crafted by hand in any medium, including, but not limited to: textile, tile, paper, clay, glass, fiber, wood, metal, or plastic; provided, that if produced in multiples, craft does not include works mass produced or produced in other than a limited edition.
  8. “Creditors” means “creditor” as defined in the Uniform Commercial Code, § 6A-1-201(13).
  9. “Limited edition” means works of art produced from a master, all of which are the same image and bear numbers or other markings to denote the limited production of the work to a stated maximum number of multiples, or are otherwise held out as limited to a maximum number of multiples.
  10. “Master,” when used alone, is used in lieu of and means the same as such things as printing plate, stone, block, screen, photographic negative, or other like material that contains an image used to produce visual art objects in multiples, or in the case of sculptures, a mold, model, cast, form, or other prototype, other than from glass, from which additional multiples of sculpture are produced, fabricated, or carved.
  11. “On consignment” means that no title to, estate in, or right to possession of the work of fine art or multiple that is superior to that of the cosigner vests in the cosignee, notwithstanding the cosignee’s power or authority to transfer or convey all the right, title, and interest of the cosignor, in and to such work, to a third person.
  12. “Person” means an individual, partnership, corporation, association, or other group, however organized.
  13. “Print,” in addition to meaning a multiple produced by, but not limited to, such processes as engraving, etching, woodcutting, lithography, and serigraphy, also means multiples produced or developed from photographic negatives or any combination of these processes.
  14. “Proofs” means multiples that are the same as, and that are produced from the same masters as, the multiples in a limited edition, but that, whether so designated or not, are set aside from and are in addition to the limited edition to which they relate.
  15. “Reproduction” means a copy, in any medium, of a work of fine art that is displayed or published under circumstances that, reasonably construed, evinces an intent that it be taken as a representation of a work of fine art as created by the artist.
  16. “Reproduction right” means a right to reproduce, prepare derivative works of, distribute copies of, publicly perform, or publicly display a work of fine art.
  17. “Sculpture” means a three-dimensional fine-art object produced, fabricated, or carved in multiple from a mold, model, cast, form, or other prototype, other than from glass, sold, offered for sale, or consigned in, into, or from this state for an amount in excess of fifteen hundred dollars ($1,500).
  18. “Signed” means autographed by the artist’s own hand, and not by mechanical means of reproduction, after the multiple was produced, whether or not the master was signed or unsigned.
  19. “Visual-art multiples” or “multiples” means prints, photographs, positive or negative, sculpture, and similar art objects produced in more than one copy and sold, offered for sale, or consigned in, into, or from this state for an amount in excess of one hundred dollars ($100), exclusive of any frame, or in the case of sculpture, an amount in excess of fifteen hundred dollars ($1,500). Pages or sheets taken from books and magazines and offered for sale or sold as visual-art objects shall be included, but books and magazines are excluded.
  20. “Work of fine art” means any original work of visual or graphic art of any medium that includes, but is not limited to, the following: painting; drawing; print; photographic print; or sculpture of a limited edition of no more than three hundred (300) copies; provided, that “work of fine art” does not include sequential imagery such as that in motion pictures.
  21. “Written instrument” means a written or printed agreement, bill of sale, invoice, certificate of authenticity, catalogue, or any other written or printed note or memorandum or label describing the work of fine art or multiple that is to be sold, exchanged, or cosigned by an art merchant.

History of Section. P.L. 1987, ch. 566, § 1; P.L. 2000, ch. 429, § 1; P.L. 2019, ch. 308, art. 1, § 25.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-62-3. Public display, publication, and reproduction of works of fine art.

Except as limited by § 5-62-5 , no person other than the artist, or a person acting with the artist’s consent, shall knowingly display in a public exhibition a work of fine art of that artist or shall publish a reproduction of a work of the artist in an altered, defaced, mutilated, or modified form, if the work is displayed, published, or reproduced as being the work of the artist, or under circumstances under which it would reasonably be regarded as being the work of the artist.

History of Section. P.L. 1987, ch. 566, § 1.

5-62-4. Artists’ authorship rights.

  1. Except as limited by § 5-62-5 , the artist shall retain at all times the right to claim authorship, or, for just and valid reason, to disclaim authorship of his or her work of fine art. The right to claim authorship shall include the right of the artist to have his or her name appear on, or in connection with, the work of fine art as the artist. Just and valid reason for disclaiming authorship shall include that the work of fine art has been altered, defaced, mutilated, or modified other than by the artist, without the artist’s consent, and damage to the artist’s reputation is reasonably likely to result or has resulted from this.
  2. The rights created by this section shall exist in addition to any other rights and duties that may now or in the future be applicable.

History of Section. P.L. 1987, ch. 566, § 1.

5-62-5. Limitations of applicability.

  1. Alteration, defacement, mutilation, or modification of a work of fine art resulting from the passage of time or the inherent nature of the materials will not by itself create a violation of § 5-62-3 or a right to disclaim authorship under § 5-62-4(a) ; provided, that the alteration, defacement, mutilation, or modification was not the result of gross negligence in maintaining or protecting the work of fine art.
  2. In the case of a reproduction, a change that is an ordinary result of the medium of reproduction does not by itself create a violation of § 5-62-3 or a right to disclaim authorship under § 5-62-4(a) .
  3. Conservation does not constitute an alteration, defacement, mutilation, or modification within the meaning of this chapter unless the conservation work is shown to be negligent.
  4. This chapter does not apply to work prepared under contract for advertising or trade use unless the contract provides.
  5. The provisions of this chapter apply only to works of fine art knowingly displayed in a place accessible to the public, published, or reproduced in this state.

History of Section. P.L. 1987, ch. 566, § 1.

5-62-6. Relief.

  1. An artist aggrieved under § 5-62-3 or § 5-62-4 has a cause of action for legal and injunctive relief.
  2. No action may be maintained to enforce any liability under this chapter unless brought within three (3) years of the act complained of or one year after the constructive discovery of the act, whichever is longer.

History of Section. P.L. 1987, ch. 566, § 1.

5-62-7. Artists — Art merchant relationships.

  1. Notwithstanding any custom, practice, or usage of the trade, any provision of the Uniform Commercial Code, or any other law, statute, requirement, or rule, or any agreement, note, memorandum, or writing to the contrary:
    1. Whenever an artist or craftsperson, his or her heirs, or personal representatives, delivers, or causes to be delivered, a work of fine art, craft, or a print of his or her own creation to an art merchant for the purpose of exhibition and/or sale on a commission, fee, or other basis of compensation, the delivery to and acceptance of the work or print by the art merchant establishes a cosignor/cosignee relationship as between the artist or craftsperson and the art merchant with respect to the work, and:
      1. The cosignee shall thereafter be deemed to be the agent of the cosignor with respect to the work;
      2. The work is trust property in the hands of the cosignee for the benefit of the cosignor;
      3. Any proceeds from the sale of the work are trust funds in the hands of the cosignee for the benefit of the cosignor;
      4. The work shall remain trust property notwithstanding its purchase by the cosignee for his or her own account until the price is paid in full to the cosignor; provided that, if the work is resold to a bona fide third party before the cosignor has been paid in full, the resale proceeds are trust funds in the hands of the cosignee for the benefit of the cosignor to the extent necessary to pay any balance still due to the cosignor and the trusteeship shall continue until the fiduciary obligation of the cosignee with respect to the transaction is discharged in full; and
      5. No trust property or trust funds shall be subject or subordinate to any claims, liens, or security interest of any kind or nature whatsoever.
    2. Waiver of any provision of this section is absolutely void except that a cosignor may lawfully waive the provisions of subsection (a)(1)(iii), if the waiver is clear, conspicuous, in writing, and subscribed by the cosignor, provided:

      (i) No waiver shall be valid with respect to the first two thousand five hundred dollars ($2,500) of gross proceeds of sales received in any twelve-month (12) period commencing with the date of the execution of the waiver;

      (ii) No waiver shall be valid with respect to the proceeds of a work initially received on consignment but subsequently purchased by the cosignee directly or indirectly for his or her own account; and

      (iii) No waiver shall inure to the benefit of the cosignee’s creditors in any manner that might be inconsistent with the cosignor’s rights under this section.

    3. Proceeds from the sale of cosigned works covered by this section shall be deemed to be revenue from the sale of tangible goods, and not revenue from the provision of services to the cosignor or others, except that the provisions of this paragraph do not apply to proceeds from the sale of cosigned works sold at public auction.
  2. Nothing in this section shall be construed to have any effect upon any written or oral contract or arrangement in existence prior to September 1, 2000, or to any extensions or renewals of a contract, except by mutual, written consent of the parties to the contract.

History of Section. P.L. 2000, ch. 429, § 2; P.L. 2019, ch. 308, art. 1, § 25.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-62-8. Exemption from seizure.

No process of attachment, execution, sequestration, replevin, distress, or any kind of seizure shall be served or levied upon any work of fine art while the work is en route to or from, or while on exhibition or deposited by a nonresident exhibitor at any exhibition held under the auspices or supervision of any museum, college, university, or other nonprofit art gallery, institution, or organization within any city or county of this state for any cultural, educational, charitable, or other purpose not conducted for profit to the exhibitor, nor shall the work of fine art be subject to attachment, seizure, levy, or sale for any cause whatever in the hands of the authorities of the exhibition or otherwise.

History of Section. P.L. 2000, ch. 429, § 2.

5-62-9. Express warranties.

Notwithstanding any provision of any other law to the contrary:

  1. Whenever an art merchant, in selling or exchanging a work of fine art, furnishes a certificate of authenticity or any similar written instrument to a buyer of the work who is not an art merchant, it:
    1. Shall be presumed to be part of the basis of the bargain; and
    2. Creates an express warranty for the material facts stated as of the date of the sale or exchange.
  2. Except as provided in subsection (4) of this section, the warranty shall not be negated or limited, provided that in construing the degree of warranty, due regard shall be given to the terminology used and the meaning accorded to the terminology by the customs and usage of the trade at the time and in the locality where the sale or exchange took place.
  3. Language used in a certificate of authenticity, or similar written instrument, stating that:
    1. The work is by a named author or has a named authorship, without any limiting words, means unequivocally that the work is by the named author or has the named authorship;
    2. The work is “attributed to a named author” means a work of the period of the author, attributed to him or her, but not with certainty by him or her; or
    3. The work is of the “school of a named author” means a work of the period of the author, by a pupil or close follower of the author, but not by the author.
    1. An express warranty and disclaimers intended to negate or limit a warranty shall be construed, wherever reasonable, as consistent with each other, but subject to the provisions of the Uniform Commercial Code, § 6A-2-202 , on parole or extrinsic evidence, negation or limitation is inoperative to the extent that the construction is unreasonable.
    2. A negation or limitation is deemed unreasonable if:
      1. The disclaimer is not conspicuous, written, and apart from the warranty, in words that clearly and specifically apprise the buyer that the seller assumes no risk, liability, or responsibility for the material facts stated concerning the work of fine art. Words of general disclaimer are not sufficient to negate or limit an express warranty; or
      2. The work of fine art is proved to be a counterfeit and this was not clearly indicated in the description of the work; or
      3. The information provided is proved to be, as of the date of sale or exchange, false, mistaken, or erroneous.

History of Section. P.L. 2000, ch. 429, § 2.

5-62-10. Falsifying certificates of authenticity or any similar written instrument.

A person who, with intent to defraud, deceive, or injure another, makes, utters, or issues a certificate of authenticity, or any similar written instrument for a work of fine art attesting to material facts that the work does not in fact possess, is guilty of a misdemeanor.

History of Section. P.L. 2000, ch. 429, § 2.

5-62-11. Express warranties for multiples.

  1. When an art merchant furnishes the name of the artist of a multiple, or otherwise furnishes information required by this chapter for any time period as to transactions including offers, sales, or consignments, the provisions of § 5-62-9 shall apply, except that the section shall be deemed to include sales to art merchants. The existence of a reasonable basis in fact for information warranted shall not be a defense in an action to enforce the warranty, except in the case of photographs produced prior to nineteen hundred fifty (1950), and multiples produced prior to nineteen hundred (1900).
  2. The provisions of § 5-62-9(4) shall apply when an art merchant disclaims knowledge as to a multiple about which information is required by this chapter; provided, that in addition, the disclaimer shall be ineffective unless clearly, specifically, and categorically stated as to each item of information and contained in the physical context of other language setting forth the required information as to a specific multiple.

History of Section. P.L. 2000, ch. 429, § 2.

5-62-12. Construction.

  1. The rights and liabilities created by this chapter shall be construed to be in addition to and not in substitution, exclusion, or displacement of, other rights and liabilities provided by law, including the law of principal and agent, except where the construction would, as a matter of law, be unreasonable.
  2. No art merchant who, as buyer, is excluded from obtaining the benefits of an express warranty under this chapter, shall be deprived of the benefits of any other provision of law by that exclusion.

History of Section. P.L. 2000, ch. 429, § 2.

Chapter 63 Mental Health Counselors and Marriage and Family Therapists [Repealed.]

5-63-1 — 5-63-26. [Repealed.]

Repealed Sections.

This chapter (P.L. 1987, ch. 583, § 1; P.L. 1990, ch. 492, § 5), consisting of §§ 5-63-1 to 5-63-26 and concerning mental health counselors and marriage and family therapists, was repealed by P.L. 1996, ch. 85, § 1, effective July 3, 1996. For present similar provisions, see Chapter 63.2 of this title.

Chapter 63.1 Reporting of Sexual Misconduct by Mental Health Professionals

5-63.1-1. Definitions.

As used in this chapter:

  1. “Former patient” is a person who obtained a professional consultation or diagnostic or therapeutic service from a mental-health professional within two (2) years prior to sexual contact with the mental-health professional.
  2. “Mental-health professional” includes a licensed, an unlicensed, a certified, or an uncertified or an in-training:
    1. Marriage and family therapist;
    2. Mental-health counselor;
    3. Psychiatric nurse;
    4. Psychiatrist;
    5. Psychologist;
    6. Social worker;
    7. Chemical dependency professional; or
    8. Any mental health or human service professional, or any other person, licensed or unlicensed, certified or uncertified, rendering or offering to render services, for the purpose of treating, diagnosing, or assessing mental or emotional disorders or distress, modifying behaviors, or alleviating problems pertaining to interpersonal relationships, work and life adjustment, and personal effectiveness that are caused by mental or emotional disorders or distress.
  3. “Patient” is a person who obtains a professional consultation or diagnostic or therapeutic service from a mental health professional.
    1. “Sexual-abuse reporter” includes any mental health professional who has reasonable cause to believe that a patient or former patient of another mental health professional is having, or has had, sexual contact with that professional.
    2. “Sexual-abuse reporter” does not include state employees who are exempted from the reporting requirements of § 5-63.1-2 .
    1. “Sexual contact” means any of the following, whether or not occurring with the consent of a patient or former patient:
      1. Sexual intercourse, cunnilingus, fellatio, anal intercourse, or any intrusion, however slight, into the genital or anal openings of the patient’s or former patient’s body by any part of the mental health professional’s body or any object used by the mental health professional for that purpose, or any intrusion, however slight, into the genital or anal openings of the mental health professional’s body by any part of the patient’s or former patient’s body or by any object used by the patient or former patient for that purpose, if consented to by the mental health professional;
      2. Sustained kissing of the mouth or kissing or intentional touching by the mental health professional of the patient’s or former patient’s genital area, groin, inner thigh, buttocks, or breast or the clothing covering any of these body parts; or sustained kissing of the mouth or kissing or intentional touching by the patient or former patient of the mental health professional’s genital area, groin, inner thigh, buttocks, or breast or the clothing covering any of these body parts if the mental health professional consents to the kissing or intentional touching;
      3. Exhibition by the mental health professional in view of the patient or former patient of the mental health professional’s genital area, groin, inner thigh, buttocks, or breast; voyeurism by the mental health professional in the form of viewing the patient’s or former patient’s genital area, groin, inner thigh, buttocks, or breast;
      4. Using the influence inherent in the mental health professional-patient or mental health professional-former patient relationship to induce the patient or former patient to engage in sexual contact with a third party.
    2. “Sexual contact” does not include conduct described in the definition of sexual contact that is in accordance with practices generally recognized as legitimate by the mental health professions, casual social contact not intended to be sexual in character, inadvertent touching, or conduct by a child protective investigator acting pursuant to chapter 11 of title 40.
  4. “Subject” means the mental health professional named in a report as being suspected of having sexual contact with a patient or former patient or who has been determined to have engaged in sexual contact with a patient or former patient.

History of Section. P.L. 1994, ch. 355, § 1.

5-63.1-2. Reports of sexual contact.

  1. If a mental health professional has reasonable cause to suspect that a patient he or she has seen in the course of professional duties is a victim of sexual contact by another mental health professional, or a person who holds himself or herself out to be a mental health professional, as soon thereafter as practicable, the mental health professional shall ask the patient if he or she wants to make a report or wants the mental health professional to make a report under this section. If the patient wants the mental health professional to make the report, the patient shall provide the mental health professional with written consent to report.
  2. Within thirty (30) days after a patient consents under subsection (a) to a report, the mental health professional shall report the suspected activity to:
    1. The professional’s board of licensing, certification, registration, or equivalent oversight authority, if the reporter believes the subject of the report is licensed or certified by the state;
    2. In the case of state employees, to the governing agency of the state employee; or
    3. The attorney general’s office if subsections (b)(1) and (b)(2) are not applicable.
  3. A report under this section shall contain only information that is necessary to identify the reporter and subject and to express the suspicion that sexual contact has occurred.
  4. Any person required to make a written report under this section who fails to do so shall be punished by a fine of not more than five hundred dollars ($500) and shall be subject to discipline by the appropriate licensing board of registration or equivalent oversight authority. Unlicensed mental health professionals shall be referred to the attorney general’s office.
  5. The attorney general shall establish, within the office’s budget, a restricted-receipts account for the limited purpose of receiving and retaining the fines assessed under the provisions of this chapter. These funds shall be retained in the restricted-receipts account to be used exclusively for programs established by the state and any subdivisions of the state, or established by any municipality, for the purpose of assisting victims of sexual misconduct that is perpetrated by mental health professionals.

History of Section. P.L. 1994, ch. 355, § 1.

5-63.1-3. Immunity from liability.

Any person or institution participating in good faith in the making of a report under this chapter shall be immune from any civil or criminal liability that results by reason of any action taken. For the purpose of any civil or criminal action or proceeding, any person reporting under this section shall be presumed to be acting in good faith. The immunity provided under this section shall not apply to liability resulting from sexual contact by a mental health professional with a patient or former patient. In any civil action against a sexual contact reporter or victim arising out of a report, if the plaintiff does not prevail in the action, the court may award the reasonable costs and attorney’s fees incurred by the defendant in defending the action.

History of Section. P.L. 1994, ch. 355, § 1.

5-63.1-4. Confidentiality of reports.

  1. Reports and records may be disclosed only to appropriate staff of a regulatory or a law enforcement agency within this state for the purposes of investigation or prosecution.
  2. The attorney general’s office and the professional licensing or certifying board within this state may exchange information from a report or record on the same subject.
  3. Whoever intentionally violates this section, or permits or encourages the unauthorized dissemination or use of information contained in reports and records made under this section, is guilty of a misdemeanor and shall be subject to a fine of up to one thousand dollars ($1,000).

History of Section. P.L. 1994, ch. 355, § 1.

Chapter 63.2 Mental Health Counselors and Marriage and Family Therapists

5-63.2-1. Statement of policy.

The state of Rhode Island has an interest in regulating the private practice of mental health counseling and marriage and family therapy in order to protect the public health, safety, and welfare.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-2. Definitions.

As used in this chapter:

  1. “Advertise” means, but is not limited to, the issuing or causing to be distributed any card, sign, or device to any person; or the causing, permitting, or allowing any sign or marking on or in any building, radio, or television; or by advertising by any other means designed to secure public attention.
  2. “Board” means the board of mental health counselors and marriage and family therapists.
  3. “Clinical counselor in mental health” means a person who is licensed pursuant to § 5-63.2-9 , which license is in force and not suspended or revoked as of the particular time in question.
  4. “Internship” means a part of an organized graduate program in counseling therapy and constitutes a supervised experience within a mental health and/or marriage and family setting.
  5. “Marriage and family therapist” means a person who is licensed pursuant to § 5-63.2-10 which license is in force and not suspended or revoked as of the particular time in question.
  6. “Person” means any individual, firm, corporation, partnership, organization, or body politic.
  7. “Practice of clinical mental health counseling” means the rendering of professional services to individuals, families, or groups for monetary compensation. These professional services include:
    1. Applying the principles, methods, and theories of counseling and/or psychotherapeutic techniques to define goals and develop a treatment plan of action aimed toward the prevention, treatment, and resolution of social, mental, and emotional dysfunction and intra or interpersonal disorders in persons diagnosed at intake as non-psychotic and not presenting medical problems; and
    2. Engaging in psychotherapy of a nonmedical nature, utilizing supervision when appropriate, and making referrals to other psychiatric, psychological, or medical resources when the person is diagnosed as psychotic or presenting a medical problem.
  8. “Practice of marriage and family therapy” means the rendering of professional services to individuals, family groups, couples, or organizations for monetary compensation. These professional services include applying principles, methods, and therapeutic techniques for the purpose of resolving emotional conflicts; modifying perceptions and behavior; enhancing communications and understanding among all family members; and the prevention of family and individual crisis. Individual marriage and family therapists shall also engage in psychotherapy of a nonmedical and non-psychotic nature with appropriate referrals to psychiatric resources.
  9. “Practicum” means a part of an organized graduate program in counseling therapy and constitutes a supervised experience within the graduate counseling program.
  10. “Qualified supervision” means the supervision of clinical services in accordance with standards established by the board under the supervision of an individual who has been recognized by the board as an approved supervisor.
  11. “Recognized educational institution” means any educational institution that grants a bachelor’s, master’s, or doctoral degree and is recognized by the board of mental health counselors and marriage and family therapists or a recognized postgraduate clinical training program as specified in §§ 5-63.2-9 and 5-63.2-10 .
  12. “Use a title or description of” means to hold oneself out to the public as having a particular status by means of stating on signs, mailboxes, address plates, stationery, announcements, calling cards, or other instruments of professional identification.

History of Section. P.L. 1996, ch. 85, § 2; P.L. 2022, ch. 167, § 1, effective June 27, 2022; P.L. 2022, ch. 168, § 1, effective June 27, 2022.

5-63.2-3. Board of mental health counselors and marriage and family therapists.

Within the division of professional regulation in the state department of health, there is a board of mental health counselors and marriage and family therapists consisting of nine (9) members.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-4. Composition of board — Appointment, terms, and removal of members.

The director of the department of health, with the approval of the governor, shall appoint nine (9) electors as members of the board. Three (3) shall be clinical mental health counselors, at least two (2) of whom shall meet the qualifications of § 5-63.2-9(b) and have at least five (5) years of private practice experience in mental health counseling; three (3) shall be marriage and family therapists, who shall be clinical marriage and family therapists who meet the qualifications of § 5-63.2-10(b) and have at least five (5) years of private practice experience in marriage and family therapy; three (3) shall be members of the public. Commencing September 1996, the director of the department of health shall appoint one clinical mental health counselor for one year; one clinical mental health counselor for two (2) years; one clinical mental health counselor for three (3) years; one marriage and family therapist for one year; one marriage and family therapist for two (2) years; one marriage and family therapist for three (3) years; one public member for two (2) years; and two (2) public members for three (3) years. After this, all terms of appointments shall be for three (3) years. In no instance shall a person serve more than six (6) consecutive years on the board.

History of Section. P.L. 1996, ch. 85, § 2; P.L. 2022, ch. 167, § 1, effective June 27, 2022; P.L. 2022, ch. 168, § 1, effective June 27, 2022.

5-63.2-5. Organization and meetings of board.

The board shall organize immediately after the appointment and qualification of its members. The board shall annually elect a chairperson and secretary. Meetings may be called by the chairperson or the director of the department of health or by written request of four (4) members of the board. Five (5) members of the board shall constitute a quorum; provided, that a clinical mental health counselor and a marriage and family therapist must be present. The board shall meet as often as necessary.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-6. General powers of board.

The board is authorized to recommend to the director of the department of health, for his or her approval, the adoption, and from time to time, the revision of the rules and regulations not inconsistent with law that may be necessary to enable it to carry into effect the provisions of this chapter. The board shall recommend for licensure at least twice a year. It shall determine the tests that applicants for licensure take. The division of professional regulation shall adopt policies to be followed in the examination, licensure, and renewal of licenses of qualified applicants. The board shall conduct hearings upon charges calling for the discipline of a licensed clinical mental health counselor or licensed marriage and family therapist or for revocation of a license. The administrator of professional regulation has the power to issue subpoenas and compel the attendance of witnesses and administer oaths to persons giving testimony at hearings. The board or the director of the department of health shall cause the prosecution of all persons violating this chapter and has the power to incur the necessary expenses for the prosecution. The board shall make provisions for continuing educational requirements for licensure. The board shall keep a record of all its proceedings.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-7. Reimbursement of board members.

Members of the board shall serve without compensation.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-8. Register of mental health counselors and marriage and family therapists — Records — Issuance of licenses.

The administrator of professional regulation of the department of health shall maintain a register of all clinical mental health counselors and marriage and family therapists licensed under this chapter which shall be open at all reasonable times to public inspection. The administrator shall be the custodian of all records pertaining to the licensure of clinical mental health counselors and marriage and family therapists. He or she shall issue licenses only upon the recommendation of the board.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-9. Qualifications of licensed clinical mental health counselor associates and licensed clinical mental health counselors.

  1. The department shall issue the appropriate license to applicants who meet the qualifications in this section.
    1. Prerequisites for licensure of a clinical mental health counselor associate. A license as a “clinical mental health counselor associate” shall be issued to an applicant who meets the following qualifications:
      1. Is of good character;
      2. Has received a graduate degree specializing in counseling/therapy from a college or university accredited by the New England Association of Schools and Colleges, or an equivalent regional accrediting agency, and that has the approval by a cognizable national or regional certifying authority;
      3. Has completed sixty (60) semester hours or ninety (90) quarter hours within his or her graduate counseling/therapy program; and
      4. Has completed a minimum of twelve (12) semester hours or eighteen (18) quarter hours of supervised practicum and a minimum of one calendar year of supervised internship consisting of twenty (20) hours per week, or its equivalent, with emphasis in mental health counseling supervised by the department within the college or university granting the requisite degree or by an accredited postgraduate clinical training program recognized by the United States Department of Education, or education and/or experience that is deemed equivalent by the board .
    2. Prerequisites for licensure of a clinical mental health counselor: A license as a “clinical mental health counselor” shall be issued to an applicant who meets the following qualifications: (i) Has completed a minimum of two (2) years of relevant postgraduate experience, including at least two thousand (2,000) hours of direct client contact offering clinical or counseling or therapy services with emphasis in mental health counseling subsequent to being awarded a master’s degree, certificate of advanced graduate study, or doctorate; (ii) Has a minimum of one hundred (100) hours of post-degree supervised case work spread over a two-year (2) period; provided, that the supervision was provided by a person who, at the time of rendering the supervision, was recognized by the board as an approved supervisor; and (iii) Has passed, to the satisfaction of the board, an examination conducted by it to determine the applicant’s qualification for licensure as a clinical mental health counselor or is applying for licensure under the provisions of § 5-63.2-15 .
  2. A candidate shall be held to have qualified for licensure as a clinical mental health counselor associate, or a clinical mental health counselor upon the affirmative vote of at least four (4) members of the board, two (2) of whom must be mental health counselors on the board.

History of Section. P.L. 1996, ch. 85, § 2; P.L. 2018, ch. 176, § 14; P.L. 2018, ch. 289, § 14; P.L. 2019, ch. 308, art. 1, § 26; P.L. 2022, ch. 167, § 1, effective June 27, 2022; P.L. 2022, ch. 168, § 1, effective June 27, 2022.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-63.2-10. Qualifications of licensed marriage and family therapist associates and licensed marriage and family therapists.

  1. The department shall issue the appropriate license to applicants who meet the qualifications of this section.
    1. Prerequisites for licensure of a marriage and family therapist associate.  A license as a “marriage and family therapist associate” shall be issued to an applicant who meets the following qualifications:
      1. Is of good character;
      2. Has completed a graduate degree program specializing in marital and family therapy from a college or university accredited by the New England Association of Schools and Colleges, or an equivalent regional accreditation agency;
      3. Has completed sixty (60) semester hours or ninety (90) quarter hours within his or her graduate degree program specializing in marital and family therapy; and
      4. Has completed a minimum of twelve (12) semester hours or eighteen (18) quarter hours of supervised practicum and a one-calendar year of supervised internship consisting of twenty (20) hours per week, or its equivalent, with emphasis in marriage and family therapy supervised by the department within the college or university granting the requisite degree or by an accredited postgraduate clinical training program, approved by the commission on accreditation for marriage and family therapy education recognized by the United States Department of Education, or education and/or experience that is deemed equivalent by the board.
    2. Prerequisites for licensure of a marriage and family therapist.  A license as a “marriage and family therapist” shall be issued to an applicant who meets the following qualifications: (i) Has had a minimum of two (2) years of relevant postgraduate experience, including at least two thousand (2,000) hours of direct client contact offering clinical or counseling or therapy services with emphasis in marriage and family therapy subsequent to being awarded a master’s degree or doctorate; (ii) Has had a minimum of one hundred (100) hours of post-degree supervised case work spread over two (2) years; provided, that the supervision was provided by a person who, at the time of rendering the supervision, was recognized by the board as an approved supervisor; and (iii) Has passed to the satisfaction of the board an examination conducted by it to determine the applicant’s qualifications for licensure as a marriage and family therapist or is applying for licensure under the provisions of § 5-63.2-15 .
  2. A candidate shall be qualified for licensure as a marriage and family therapist associate, or a marriage and family therapist upon the affirmative vote of at least four (4) members of the board, two (2) of whom must be marriage and family therapists on the board.

History of Section. P.L. 1996, ch. 85, § 2; P.L. 2018, ch. 176, § 14; P.L. 2018, ch. 289, § 14; P.L. 2022, ch. 167, § 1, effective June 27, 2022; P.L. 2022, ch. 168, § 1, effective June 27, 2022.

5-63.2-11. Prohibited acts.

Except as specifically provided in this chapter no person who is not licensed under this chapter shall:

  1. Advertise the performance of marriage and family therapy or mental health counseling services by him or her; or
  2. Use a title or description such as “marital or marriage therapist, counselor, advisor or consultant,” “marital or marriage and family therapist, counselor advisor, or consultant,” “mental health advisor or consultant,” or any other name, style, or description denoting that the person is a marriage and family therapist or mental health counselor; or
  3. Practice marriage and family therapy; or
  4. Practice mental health counseling.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-12. Exemptions.

  1. No provision of this chapter shall be construed to limit the practice of medicine, osteopathy, psychology, clinical social work, psychiatric nursing, or other recognized business or profession, or to prevent qualified members of other professions from doing work of a nature consistent with their training so long as they do not hold themselves out to the public as a licensed counselor and family practice.
  2. No person shall be required to be licensed under this chapter who:
    1. Is a salaried employee of a government agency or of a developmental services program or of a mental-health, alcohol, or drug abuse facility operating pursuant to chapter 24 of title 40.1, or who is an employee of an accredited academic institution or research institution, if the employee is performing duties for which he or she was hired solely within the confines of the agency, facility, or institution;
    2. Is a student who is pursuing a course of study that leads to a degree in medicine or a profession regulated by this chapter who is providing services in a training setting; provided, that the activities or services constitute part of a supervised course of study, or is a graduate accumulating the experience required for any licensure under this chapter; provided, that the graduate or student is designated by a title, such as “intern” or “trainee,” that clearly indicates the in-training status of the student;
    3. Is certified in school psychology by the department of elementary and secondary education and is performing psychological services as an employee of a public or private educational institution;
    4. Is a rabbi, priest, minister, or member of the clergy of any religious denomination or sect when engaging in activities that are within the scope of the performance of his or her regular or specialized ministerial duties and for which no separate charge is made, or when the activities are performed, with or without charge, for or under the auspices or sponsorship, individually or in conjunction with others, of an established and legally recognized church, denomination, or sect, and when the person rendering service remains accountable to the established authority.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-13. Licensure application.

  1. Each person desiring to obtain a license as a practicing marriage and family therapist or clinical mental health counselor shall make application to the board upon the form and in the manner that the board prescribes and shall furnish satisfactory evidence to the board that he or she:
    1. Is of good moral character;
    2. Has not engaged or is not engaged in any practice or conduct that would be a ground for refusing to issue a license under § 5-63.2-21 ;
    3. Is qualified for licensure pursuant to the requirements of this chapter, or is currently certified by the Rhode Island department of health as a mental health counselor or a marriage and family therapist. The transition from certification to licensure does not require an additional fee payment.
  2. Any person who applies to the board shall be issued a license by the board if he or she meets the qualifications stated in subsections (a)(1), (a)(2), and (a)(3) of this section and provides satisfactory evidence to the board that he or she:
    1. Meets educational experience qualifications as follows:
      1. Educational requirements: a master’s degree or certificate in advanced graduate studies or a doctoral degree in marriage and family therapy or mental health counseling from a recognized educational institution, or a graduate degree in an allied field from a recognized educational institution and graduate-level course work that is equivalent to a master’s degree in marriage and family therapy or mental health counseling, as determined by the board.
      2. Experience requirements: successful completion of two (2) calendar years of work experience in marriage and family therapy or mental health counseling under qualified supervision following receipt of a qualifying degree.
    2. Passes an examination administered by the board.

History of Section. P.L. 1996, ch. 85, § 2; P.L. 2005, ch. 410, § 6; P.L. 2009, ch. 310, § 40.

5-63.2-14. Examination of applicants.

Examination for licensure shall be conducted by the division as scheduled by the director of the department of health and offered by the board at least twice a year according to methods and in each subject field that it deems most practical and expeditious to test the applicant’s qualifications. The board may require examinations to be written or oral, or both. In any written examination, the identity of the applicant shall not be disclosed to the board until after the examination papers are graded. Written examination papers shall be preserved and available to the board for at least two (2) years.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-15. Licensure by endorsement.

A license as a clinical mental health counselor or marriage and family therapist may be issued, in the discretion of the board, without examination, to an applicant who is a clinical mental health counselor where the applicant is licensed or certified in another state whose requirements are equivalent to or exceed the requirements established pursuant to this chapter.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-16. Application fee.

The applicant applying for licensure as a clinical mental health counselor or marriage and family therapist shall pay a nonrefundable application fee and, when applicable, a reexamination fee for each reexamination. Both fees required by this section are set forth in § 23-1-54 .

History of Section. P.L. 1996, ch. 85, § 2; P.L. 2007, ch. 73, art. 39, § 21; P.L. 2012, ch. 241, art. 9, § 24.

5-63.2-17. Expiration and renewal of license.

  1. Every clinical mental health counselor and marriage and family therapist who desires to continue licensure as a licensed clinical mental health counselor and licensed marriage and family therapist shall present satisfactory evidence to the board and approved by rule or regulation of the board that the licensed clinical mental health counselor and licensed marriage and family therapist has completed a prescribed course of continuing education. The license of every person licensed under the provisions of this chapter shall expire on the first day of July of the next even year following the date of his or her license; provided, that no license shall expire prior to July 1, 1998. On or before the first day of May in each even year, commencing in the year 1998, the administrator shall mail an application for renewal of license to every person to whom a license is issued or renewed during the current year, and every licensed person who desires to renew his or her license shall file with the division the renewal application executed. This application shall include verification of prescribed continuing education requirements, together with a renewal fee as set forth in § 23-1-54 , on or before the first day of June in each even year. Upon receipt of the application and payment of the fee, the accuracy of the application shall be verified and the administrator of professional regulation shall grant a renewal license effective July 1st and expiring twenty-four (24) months later.
  2. Any person who allows his or her license to lapse, by failing to renew it on or before June 1st in each year, as provided in this section, shall be reinstated by the administrator of professional regulation on payment of the current renewal fee plus an additional fee as set forth in § 23-1-54 ; and verification of prescribed continuing education requirements. Any person using the title “clinical mental health counselor” and/or “marriage and family therapist” during the time his or her license has lapsed shall be subject to the penalties provided for violation of this chapter; provided, that if a person has allowed his or her licensure to lapse for four (4) years or more, he or she shall be reinstated at the discretion of the board.

History of Section. P.L. 1996, ch. 85, § 2; P.L. 2001, ch. 77, art. 14, § 24; P.L. 2007, ch. 73, art. 39, § 21; P.L. 2012, ch. 241, art. 9, § 24.

5-63.2-18. Privileged communications.

The provisions of § 9-17-24 shall apply to persons licensed pursuant to this chapter.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-19. Transfer to inactive lists — Reinstatement.

A licensed clinical mental health counselor and/or licensed marriage and family therapist who does not intend to continue his or her licensure, upon written request to the administrator of professional regulation, may have his or her name transferred to an inactive list, and shall not be required to pay the renewal fee as long as he or she remains inactive. Should he or she wish to resume functioning as a licensed clinical mental health counselor and/or licensed marriage and family therapist, he or she shall notify the administrator of professional regulation and shall remit his or her renewal fee and his or her license shall be reinstated.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-20. Disposition of fees and fines.

From the proceeds of any fees collected pursuant to this chapter, there is created a restricted receipt account which shall be used for the general purposes of the division of professional regulation with the department of health.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-21. Grounds for discipline.

The board has the power to deny, revoke, or suspend any registration issued by the administrator of professional regulation or applied for in accordance with this chapter or to discipline a licensed clinical mental health counselor and/or a licensed marriage and family therapist upon proof that the person:

  1. Is guilty of fraud or deceit in procuring or attempting to procure a registration;
  2. Is guilty of a felony or of a crime of immorality;
  3. Is habitually intemperate or is addicted to the use of habit-forming drugs;
  4. Is mentally incompetent;
  5. Has willfully or repeatedly violated any of the provisions of this chapter;
  6. Is habitually negligent in the performance of his or her duties;
  7. Has willfully or repeatedly violated any of the ethical principles governing mental health counselors and marriage and family therapists and the practice of mental health counseling and marriage and family therapy, as adopted by the board, and in force at the time a charge is made and determined by the board, regardless of whether or not the person is a member of any national, regional, or state professional association; provided, that the ethical principles are of a nationally-recognized standard of the respective national professional organization.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-22. Procedure for discipline.

When a sworn complaint is filed with the board charging a person with having been guilty of any of the actions specified in § 5-63.2-21 , the division of professional regulation shall immediately investigate the charges or, the board, after investigation, may institute charges. In the event the investigation reveals reasonable grounds for believing that the applicant or person licensed under this chapter is guilty of the charges, the board shall fix a time and place for a hearing, and shall cause a copy of the charges, together with a notice of the time and the place fixed for a hearing, to be personally served upon the accused at least twenty (20) days prior to the time fixed for the hearing. When personal service cannot be effected and the fact is certified by oath by any person authorized to make service, the board shall cause to be published once in each of two (2) successive weeks, a notice of the hearing in a newspaper published in the county where the accused last resided according to the records of the board and shall mail a copy of the charges and the notice to the accused at his or her last-known address. When publication of notice is necessary, the date of the hearing shall not be less than twenty (20) days after the last date of publication of the notice. At the hearing, the accused has the right to appear personally or by counsel, or both; to produce witnesses and evidence on his or her behalf; to cross-examine witnesses; and to have subpoenas issued by the administrator of professional regulation. The attendance of witnesses and the production of books, documents, and papers at the hearing may be compelled by subpoenas issued by the administrator, which shall be served in accordance with law. At the hearing, the administrator shall administer oaths that are necessary for the proper conduct of the hearing. The board shall not be bound by the strict rules of procedure or by the laws of evidence in the conduct of its proceedings, but the determination shall be based upon sufficient legal evidence to sustain it. If the accused is found guilty of the charges, the board may refuse to issue a registration to the applicant or may revoke or suspend his or her license or discipline the person. Upon the revocation or suspension of any license, the holder shall surrender the license to the administrator of professional regulation who shall strike the name of the holder from the register of licensed clinical mental health counselors and/or licensed marriage and family therapists. A revocation or suspension of a license may be reviewed at the discretion of the board or at the initiative of the administrator of professional regulation who may order a rehearing of the issue if he or she finds cause.

History of Section. P.L. 1996, ch. 85, § 2; P.L. 2019, ch. 308, art. 1, § 26.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-63.2-23. Penalties for violations.

  1. It is a misdemeanor for any person, in offering his or her services to the public to:
    1. Use in connection with his or her name any designation tending to imply that he or she is a licensed clinical mental health counselor and/or licensed marriage and family therapist unless licensed under the provisions of this chapter;
    2. Use in connection with his or her name any designation tending to imply that he or she is a licensed clinical mental health counselor and/or licensed marriage and family therapist during the time his or her license issued under the provisions of this chapter is suspended or revoked; or
    3. Violate any of the provisions of this chapter.
  2. All the misdemeanors shall be punishable by a fine of not more than five hundred dollars ($500) for each offense.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-24. Injunction of violations.

When it appears to the board that any person is violating any of the provisions of this chapter, the director of the department of health may cause an action to be instituted, commenced in the name of the board, to enjoin the violation in a court of competent jurisdiction and the court may enjoin any person from violating any of the provisions of this chapter without regard to whether proceedings have been or may be instituted before the board or whether criminal proceedings have been or may be instituted.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-25. Enforcement.

The director of the department of health shall enforce the provisions of this chapter. The director or the director’s authorized agents and/or the board shall be exempt from providing surety for costs in connection with the commencement of any legal proceedings under this chapter.

History of Section. P.L. 1996, ch. 85, § 2.

5-63.2-26. Appeals from director and board.

Any person aggrieved by a decision or ruling of the director of the department of health or the board may appeal to the superior court in the manner provided in the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1996, ch. 85, § 2.

Chapter 64 Dietitian/Nutritionist Act

5-64-1. Short title.

This chapter shall be known and may be cited as the “Dietitian/Nutritionist Act.”

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1991, ch. 385, § 1.

5-64-2. Purpose.

The purpose of this chapter is to protect the health, safety, and welfare of the public by providing for the licensing and regulation of dietitians and/or nutritionists.

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1991, ch. 385, § 1.

5-64-3. Definitions.

As used in this chapter:

  1. “Board” means the Rhode Island state board of dietetics practice.
  2. “Commission of dietetic registration” (CDR) means a commission on dietetic registration that is a member of the National Commission for Health Certifying Agencies.
  3. “Degree” means a degree received from, or validated by, a college or university that was regionally accredited through the council on postsecondary accreditation and the U.S. Department of Education at the time the degree was conferred.
  4. “Dietetics” means the professional discipline of applying principles derived from the sciences of nutrition, biochemistry, physiology, management, and behavioral and social sciences in the provision of dietetic services.
  5. “Dietitian and/or nutritionist” means a person engaged in the practice of dietetics.
  6. “Director” means the director of the Rhode Island department of health.
  7. “Examination” means the registration examination for dietitians or other exam as determined by and approved by the board.
  8. “Licensed dietitian/nutritionist” means a person licensed under this chapter.
  9. “Registered dietitian” means a person registered by the commission of dietetic registration.

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1989, ch. 545, § 1; P.L. 1991, ch. 385, § 1.

5-64-4. License required.

Only a person licensed or authorized to practice under this chapter shall practice dietetics or use the title “dietitian/nutritionist,” or use the letters L.D.N. or any facsimile.

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1991, ch. 385, § 1.

5-64-5. Rhode Island state board of dietetics practice.

  1. Within the division of professional regulation in the Rhode Island department of health there is a board of dietetics practice.
    1. The board shall consist of nine (9) members appointed for terms of three (3) years each with no member serving more than two (2) consecutive terms. One shall be the director of the department of health or designee. Five (5) shall be licensed dietitians/nutritionists appointed by the director of the department of health, with the approval of the governor, except that the appointments made initially need not be licensed under this chapter. (In his or her initial appointment, the director shall designate the licensed dietitian/nutritionist members of the board as follows: one member to serve for a term of one year; two (2) members to serve for a term of two (2) years; and two (2) members to serve for a term of three (3) years). One member shall be a physician licensed to practice medicine in this state appointed by the governor. Two (2) shall be consumers appointed by the governor.
    2. The director of the department of health may remove any member of the board for cause.
    3. Vacancies shall be filled for the unexpired portion of any term in the same manner as the original appointment.
  2. The duties of the board shall be to:
    1. Recommend to the director rules and regulations necessary to implement this chapter;
    2. Determine the qualification and fitness of applicants and to issue and/or reinstate licenses; and
    3. Recommend to the director revocation, suspension, and/or denial of a license.

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1989, ch. 545, § 1; P.L. 1990, ch. 394, § 1; P.L. 1991, ch. 385, § 1.

5-64-6. Applicant qualifications — Fees.

  1. When filing an application for a license the applicant must present evidence of:
    1. Completion of a baccalaureate or post-baccalaureate degree with a program in nutrition or dietetics; and
    2. Completion of a board-approved, planned, continuous experience in dietetic practice of not less than nine hundred (900) hours under the supervision of a registered dietitian or dietitian/nutritionist licensed in the state; and
    3. Passing an examination.
  2. Each application shall be accompanied by a fee as set forth in § 23-1-54 .

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1989, ch. 545, § 1; P.L. 1991, ch. 385, § 1; P.L. 2001, ch. 77, art. 14, § 25; P.L. 2007, ch. 73, art. 39, § 22; P.L. 2012, ch. 241, art. 9, § 25.

5-64-7. Graduate practice.

Every graduate of a program in nutrition/dietetics, which is accredited/approved by the American Dietetic Association, who meets the qualifications of § 5-64-6(a) may, upon payment of the required application fee as set forth in § 23-1-54 , perform as a dietitian/nutritionist under the supervision of a dietitian/nutritionist licensed in this state. During this period, the applicant shall identify himself or herself only as a “graduate dietitian/nutritionist.” If the applicant fails to take the next qualifying exam without cause or fails to pass the examination and receive a license, all privileges mentioned in this section shall automatically cease.

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1989, ch. 545, § 1; P.L. 1991, ch. 385, § 1; P.L. 2012, ch. 241, art. 9, § 25.

5-64-8. Fees.

Licenses shall be valid for two (2) years and must be renewed biennially; the renewal fee is as set forth in § 23-1-54 . Application for renewal of a certificate that has expired, requires the payment of a re-registration fee as set forth in § 23-1-54 .

History of Section. P.L. 1988, ch. 643, § 1; P.L. 2001, ch. 77, art. 14, § 25; P.L. 2007, ch. 73, art. 39, § 22; P.L. 2012, ch. 241, art. 9, § 25.

5-64-9. Grounds for discipline.

The division of professional regulation has the power to deny, revoke, or suspend any license issued by the administrator of professional regulation or applied for in accordance with this chapter or to discipline a dietitian upon proof that the person:

  1. Is guilty of fraud or deceit in procuring or attempting to procure a license;
  2. Is guilty of a felony;
  3. Has willfully or repeatedly violated any of the provisions of this chapter; or
  4. Is habitually negligent in the performance of his or her duties.

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1989, ch. 545, § 1.

5-64-10. Procedure for discipline.

  1. When a sworn complaint is filed with the board charging a person with having been guilty of any of the actions specified in § 5-64-9 , the division of professional regulation shall immediately investigate the charges, or, the board, after investigation, may institute charges. In the event the investigation reveals reasonable grounds for believing that the applicant or person certified under this chapter is guilty of the charges, the board shall fix a time and place for a hearing and shall cause a copy of the charges, together with a notice of the time and place fixed for the hearing, to be served personally upon the accused at least twenty (20) days prior to the time fixed for the hearing. When personal service cannot be effected and the fact is certified by oath by any person authorized to make service, the board shall cause to be published once in each of two (2) successive weeks, a notice of the hearing in a newspaper published in the county where the accused last resided according to the records of the board and shall mail a copy of the charges and the notice to the accused at his or her last known address. When publication of notice is necessary, the date of the hearing shall not be less than twenty (20) days after the last date of publication of the notice. At the hearing, the accused has the right to appear personally or by counsel or both; to produce witnesses and evidence on his or her behalf; and to cross-examine witnesses. The attendance of witnesses and the production of books, documents, and papers at the hearing may be compelled by subpoenas issued by the administrator which shall be served in accordance with law. At the hearing, the administrator shall administer oaths that may be necessary for the proper conduct of the hearing. The division of professional regulation shall not be bound by the strict rules of procedure or by the laws of evidence in the conduct of its proceedings but the determination shall be based upon sufficient legal evidence to sustain it. If the accused is found guilty of the charges, the division of professional regulation may refuse to issue a license or otherwise discipline the person.
  2. Upon the revocation or suspension of any license, the holder shall surrender the license to the administrator of professional regulation who shall strike the name of the holder from the register.
  3. A revocation or suspension of license may be reviewed at the discretion of the division of professional regulation or at the initiative of the administrator of professional regulation who may order a rehearing of the issue if he or she finds cause.

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1989, ch. 545, § 1.

5-64-11. Penalties for violations.

  1. It is a misdemeanor for any person, in offering his or her services to the public to:
    1. Use in connection with his or her name any designation tending to imply that he or she is a licensed dietitian/nutritionist unless certified under the provisions of this chapter.
    2. Use in connection with his or her name any designation tending to imply that he or she is a licensed dietitian/nutritionist during the time his or her license certificate issued under the provisions of this chapter is suspended or revoked.
    3. Violate any of the provisions of this chapter.
  2. All misdemeanors shall be punishable by a fine of not more than five hundred dollars ($500) for each offense.

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1991, ch. 385, § 1.

5-64-12. Exemptions.

This chapter shall not be construed as preventing or restricting the practice, services, or activities of:

  1. Any person who does not call himself or herself a dietitian/nutritionist from furnishing nutritional information to customers or any consumer as to the use of foods, food products, or dietary supplements in connection with the marketing and distribution of those products; or to the general public for educational purposes and any person who provides a weight-loss program and/or health-maintenance counseling, as long as the person does not engage in nutrition counseling for the management of disease, and does not hold himself or herself out to be a dietitian/nutritionist.
  2. A person licensed or certified in this state under any other law from engaging in the profession or occupation for which the person is licensed or certified and any person holding a doctoral degree from an accredited institution in nutrition or a related field as determined by the board; and any person with a bachelor’s degree in home economics from furnishing nutrition information incidental to the practice of his or her profession.
  3. A person employed as a dietitian/nutritionist by the government of the United States or the state or by a participating local agency of the special supplemental food program for women, infants and children, if the person practices solely under direction or control of the organization by which the person is employed.
  4. A student enrolled in a board-approved academic program in dietetics/nutrition.
  5. Family members, friends, or acquaintances who provide gratuitous nutrition advice as long as the advisor does not hold himself or herself out to be a dietitian/nutritionist.
  6. Not-for-profit health-related agencies, as described in 26 U.S.C. § 501(c)(3), that provide nutrition information in the normal course of doing business.

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1991, ch. 385, § 1.

5-64-13. License expiration, renewal.

All licenses under this chapter shall be renewed biennially and shall be accompanied by a fee of one hundred twenty-five dollars ($125). The application shall be accompanied or supported by evidence of the completion of a minimum of twenty (20) continuing-nutrition-education credits as approved by the board, reported biennially every second year after the 1993 recertification period. Failure to file an application for a renewal license to practice and to furnish the evidence shall constitute grounds for revocation, suspension, or refusal to renew the license, unless the board of dietetics, in its discretion, determines the failure to be due to reasonable cause or excusable neglect. This applicant shall be given six (6) months to make up the appropriate amount of credits required to bring him or her into compliance. Thereafter, the candidate shall be subject to immediate suspension or revocation of license.

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1991, ch. 385, § 1; P.L. 2001, ch. 77, art. 14, § 25.

5-64-14. Licensing without examination.

  1. The board shall recommend for licensure any person:
    1. Who meets the qualifications of § 5-64-6(a)(1) and who submits the required application and fee together with satisfactory evidence to the board that he or she has been practicing dietetics for at least one year since 1983; or
    2. Who provides evidence of current registration as a registered dietitian by the commission of dietetic registration.
  2. Licensure under the provisions of subsection (a)(1) cannot be granted after two (2) years following promulgation of rules and regulations.

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1989, ch. 545, § 1; P.L. 1990, ch. 394, § 1; P.L. 1991, ch. 385, § 1.

5-64-15. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 1988, ch. 643, § 1; P.L. 1995, ch. 370, art. 40, § 33.

5-64-16. Enforcement.

The director of the department of health shall enforce the provisions of this chapter.

History of Section. P.L. 1988, ch. 643, § 1.

Chapter 64.1 Dietary Manager

5-64.1-1. Short title.

This chapter shall be known and may be cited as the “Dietary Manager Practice Act.”

History of Section. P.L. 1990, ch. 352, § 1.

5-64.1-2. Declaration of purpose.

It is the purpose of this chapter to protect the public health, safety, and welfare by providing for the training, certification, and regulation of persons practicing the profession of dietary manager of healthcare food service by providing a means of identifying those qualified to practice as a dietary manager; to assure the highest degree of professional conduct; and to assure the availability of services of high quality to persons and facilities in need of these services.

History of Section. P.L. 1990, ch. 352, § 1.

5-64.1-3. Definitions.

As used in this chapter:

  1. “Board” means the certifying board for dietary managers. The board has authority over the rules and regulations of the certification program for dietary managers.
  2. “Certified dietary manager” (C.D.M.) means to have entry-level competency to perform the duties and responsibilities of a dietary manager; that a person has training and experience, and has passed an entry-level credentialing exam to document his or her competency after which participation in continuing education to maintain competency.
  3. “Dietary manager” means a person who:
    1. Integrates and applies principles with education and training at an accredited school, college, or university in purchasing, personnel practices, supervision of people, budgeting and finance, menu planning, and nutrition;
    2. Directs and coordinates food-service activities of a hospital, nursing home, or a related facility;
    3. Confers with dieticians to ensure that menus and department policies conform to nutritional standards and government and established regulations and procedures;
    4. Reviews patient diet information and discusses requests, changes, and inconsistencies with the patient, professional staff, and/or resident food committee or council;
    5. Plans and coordinates through subordinate supervisors, standards and procedures of food storage, preparation, and service, department and equipment sanitation, employee safety, and personnel policies and procedures;
    6. Inspects food and food preparation and storage areas with knowledge of health and sanitation regulations;
    7. Tastes, smells, and observes food to ensure conformance with recipes and appearance standards;
    8. Attends meetings with employees, department heads, administration, and dieticians to discuss regulations, procedures, grievances, and recommendations for improving food service;
    9. Computes operating costs for own information and for information of administration;
    10. In the absence of the dietician, a certified dietary manager is responsible for the department; and
    11. Oversees all therapeutic diets to be planned in writing, reviewed, approved, and dated by the qualified dietician.
  4. “Facility” or “institution” means an organization or corporation such as hospitals, nursing homes, commercial and/or community feeding.
  5. “Managerial/supervisory experience” means that eighty percent (80%) of the individual’s time is spent in a full-time managerial/supervisory capacity.
  6. “Person” or “individual” means an individual person whether a resident of this state or not.
  7. “Registered dietician” means any person registered to practice dietetics as specified by the commission of registration of the American Dietetic Association.

History of Section. P.L. 1990, ch. 352, § 1.

5-64.1-4. Certification required.

  1. No person may practice or hold himself or herself out as a certified dietary manager unless he or she is certified in accordance with the requirements of this chapter.
  2. Any person employed as a dietary manager on August 11, 1990, and who has been employed for a period of ten (10) years or more, is exempt from the certification requirements of this chapter.

History of Section. P.L. 1990, ch. 352, § 1.

5-64.1-5. Restriction on use of titles.

Only a person certified by the board as a certified dietary manager shall use the words “Certified Dietary Manager” (C.D.M.) in connection with his or her name or place of business, or may use the words, letters, abbreviations, or insignia indicating or implying that he or she is a certified dietary manager.

History of Section. P.L. 1990, ch. 352, § 1.

5-64.1-6. Requirements for certification.

    1. The minimum qualifications of the person responsible for the direction of the food service department of a healthcare facility shall be a certified dietary manager, or a person eligible for certification as a certified dietary manager by the Dietary Manager’s Association (D.M.A.), or with another comparable body with periodic consultation on patient nutritional issues by a registered dietician or a person who can furnish written documentation from an employer that he or she has completed five (5) years or more experience in the capacity of dietary manager.
    2. In addition, the person:
      1. Must possess a high school diploma or a GED certificate;
      2. May be an active member of the Dietary Manager’s Association; and
      3. Must have successfully completed one year of practical work experience beyond one hundred fifty (150) hours included in the DM training program, in an institutional setting.
  1. New graduates of DM-training programs may be required to join the Dietary Manager’s Association and then qualify to take the credentialing exam by:
    1. Possessing a high school diploma or a GED certificate; and
    2. Having successfully completed five (5) years’ experience in a managerial or supervisory capacity in an institutional setting.

History of Section. P.L. 1990, ch. 352, § 1.

5-64.1-7. Eligibility of dietary managers.

  1. A person shall present satisfactory evidence to the board of having successfully completed the academic requirements of an educational program in dietary management recognized by the board at an accredited college or university as determined by the board.
  2. All persons shall meet the qualifications established by the commission of registration of the American Dietetic Association for registered dieticians.
  3. An applicant for certification shall have successfully completed the written examination of the Dietary Manager’s Association. The title of C.D.M. must be earned by successfully completing the examination.
  4. Applicants shall be responsible for applying to take the certifying board for dietary manager’s examination that is offered at a predetermined time and place. The application shall be accompanied by a fee as prescribed by the board, and this fee shall not be refundable.
  5. An applicant shall only be required to take the examination on one occasion; provided, that he or she shall be required to maintain certified status by earning sufficient work time hours as prescribed by the D.M.A., and shall pay annual certification fees when they are due.
  6. Failure to comply with requirements of this section shall result in the loss of certified status, and the person shall be required to successfully complete the exam again.
  7. To maintain certified status, forty-five (45) hours of continuing education must still be earned in each three-year (3) certifying period. If this requirement is not met, certified status shall be lost.
  8. The exam may be taken three (3) times. If an applicant fails all three (3) times, he or she has to take some board-certified specific refresher courses before being eligible to take the exam again. Application and fees must be submitted each time he or she applies.
  9. Neither D.M.A. nor the certifying board for dietary managers shall administer the examination. It shall be administered by a recognized testing firm.
  10. Simply graduating from a dietary-manager training program only does not constitute certification. The graduate must meet all eligibility requirements for membership in D.M.A. as established in this chapter.

History of Section. P.L. 1990, ch. 352, § 1.

5-64.1-8. Renewal of membership.

  1. If a member is dropped from membership for a period of five (5) years, or less, a request, in writing, for reinstatement to D.M.A. headquarters office must be made with required fees.
  2. If membership is dropped for more than five (5) years, a person shall be ineligible for reinstatement. He or she shall have to repeat the dietary-manager training program and retake the credentialing exam for certification.
  3. Individuals who have not taken the exam or who did not pass the exam, may be members of D.M.A. if they meet the membership requirements.

History of Section. P.L. 1990, ch. 352, § 1.

5-64.1-9. Eligibility of dietary technicians.

  1. An individual who is a dietetic technician, having graduated from a dietetic technician program approved by the American Dietetic Association, but is not a member of D.M.A. nor certified by D.M.A., may qualify to sit for the credentialing exam.
  2. Dietetic technicians who have graduated within the last five (5) years from a technician program approved by the American Dietetic Association may qualify for membership in D.M.A.
    1. An associate member shall be an individual who holds an associate, bachelors, or advanced degree in food service, health care, or a related field, and who pays the required annual associates membership fee.
    2. The associate member may not vote or hold office per D.M.A. bylaws.
    3. The individual with the associate, bachelors, or advanced degree, who elects to become an associate member in D.M.A., may qualify to sit for the exam. If that individual passes the exam, he or she shall be eligible to become certified.
    4. When certified, he or she may use the initials C.D.M. That person must maintain certified status by earning continuing education clock hours and paying the annual certification fee.

History of Section. P.L. 1990, ch. 352, § 1.

5-64.1-10. Fees.

The board shall prescribe reasonable fees for, but not limited to:

  1. Initial fees;
  2. Renewal fees;
  3. Late fees;
  4. Certification fees; and
  5. Membership fees.

History of Section. P.L. 1990, ch. 352, § 1.

5-64.1-11. Department of health.

The director of the department of health and the division of professional regulation shall maintain a registry of all persons holding certification and a record of all inspections made consistent with department of health surveys currently in existence or as amended.

History of Section. P.L. 1990, ch. 352, § 1.

5-64.1-12. Severability.

If a part of this chapter is held unconstitutional or invalid, all valid parts that are severable from the invalid or unconstitutional part remain in effect. If a part of this chapter is held unconstitutional or invalid in one or more of its applications, the part shall remain in effect in all constitutional and valid applications that are severable from the invalid applications.

History of Section. P.L. 1990, ch. 352, § 1.

Chapter 65 Contractors’ Registration and Licensing Board

5-65-1. Definitions.

As used in this chapter:

  1. “Board” means the contractors’ registration and licensing board established pursuant to the provisions of § 5-65-14 or its designees.
  2. “Claim for retainage” means an allegation that a person seeking payment of retainage breached the person’s contract for the project; provided, however, that a “claim” related to a project with a contract value of not less than two hundred fifty thousand dollars ($250,000) shall be subject to the applicable dispute resolution procedure, notice, and other requirements in the contract for construction.
    1. “Contractor” means a person who, in the pursuit of an independent business, undertakes or offers to undertake or submits a bid, or for compensation and with or without the intent to sell the structure arranges to construct, alter, repair, improve, move over public highways, roads, or streets or demolish a structure or to perform any work in connection with the construction, alteration, repair, improvement, moving over public highways, roads, or streets or demolition of a structure, and the appurtenances thereto. For the purposes of this chapter, “appurtenances” includes the installation, alteration, or repair of wells connected to a structure consistent with chapter 13.2 of title 46. “Contractor” includes, but is not limited to, any person who purchases or owns property and constructs, or for compensation arranges for the construction of, one or more structures.
    2. A certificate of registration is necessary for each “business entity” regardless of the fact that each entity may be owned by the same individual.
  3. “Contract for construction” means a contract for which a lien may be established under chapter 28 of title 34 or for state or municipal public works projects as defined in title 37 on a project for which the person on whose contract with the project owner has an original contract price of not less than two hundred fifty thousand dollars ($250,000); provided, however, that “contract for construction” shall not include a project containing, or designed to contain, at least one, but not more than four (4), dwelling units.
  4. “Deliverable” means a project close-out document that shall be submitted by the person seeking payment of retainage under the person’s contract for construction; provided, however, that a lien waiver or release, which is a deliverable, shall comply with chapter 28 of title 34; provided, further, that “deliverable” shall not include any document affirming, certifying, or confirming completion or correction of labor, materials, or other items furnished or incomplete or defective work.
  5. “Dwelling unit” means a single unit providing complete independent-living facilities for one or more persons, including permanent provisions for living, sleeping, eating, cooking, and sanitation.
  6. “Hearing officer” means a person designated by the director of the department of business regulation or the director’s designee to hear contested claims or cases, contested enforcement proceedings, and contested administrative fines, in accordance with the “administrative procedures act,” chapter 35 of title 42.
  7. “Incomplete or defective work” means labor, materials, or any other item required for full performance by a person seeking payment of retainage that remains to be furnished by the person under the person’s contract for construction or that has been furnished by the person but requires correction, repair, further completion, revision, or replacement; provided, however, that “incomplete or defective work” shall not include deliverables or labor, materials, or any other item to be repaired or replaced after substantial or final completion pursuant to a warranty, guarantee, or other contractual obligation to correct defective work after substantial or final completion.
  8. “Monetary damages” means the dollar amount required in excess of the contract amount necessary to provide the claimant with what was agreed to be provided under the terms of the contract reduced by any amount due and unpaid to the respondent inclusive of any and all awards and restitution.
  9. “Office” means the state building office.
  10. “Person” means any natural person, joint venture, partnership, corporation, or other business or legal entity who or that enters into a contract for construction.
  11. “Prime contractor” means a person who or that enters into a contract for construction with the project owner.
  12. “Retainage” means a portion or percentage of a payment due pursuant to a contract for construction that is withheld to ensure full performance of the contract for construction.
  13. “Staff” means any staff necessary to carry out the powers, functions, and duties of the board including inspectors, hearing officers, and other supportive staff.
  14. “State” means the state of Rhode Island.
  15. “Structure” means (i) Any commercial building; or (ii) Any building containing one or more residences and their appurtenances. The board’s dispute resolution process shall apply only to residential structures containing dwelling units, as defined in the state building code, or residential portions of other types of buildings without regard to how many units any structure may contain. The board retains jurisdiction and may conduct hearings regarding violations against all contractors required to be registered or licensed by the board.
  16. “Substantially” means any violation that affects the health, safety, and welfare of the general public.
  17. “Substantial completion” means the stage in the progress of the project when the work required by the contract for construction with the project owner is sufficiently complete in accordance with the contract for construction so that the project owner may occupy or utilize the work for its intended use; provided, further, that “substantial completion” may apply to the entire project or a phase of the entire project if the contract for construction with the project owner expressly permits substantial completion to apply to defined phases of the project.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1994, ch. 350, § 2; P.L. 1996, ch. 322, § 1; P.L. 2001, ch. 257, § 1; P.L. 2001, ch. 322, § 1; P.L. 2001, ch. 323, § 1; P.L. 2001, ch. 327, § 1; P.L. 2006, ch. 648, § 1; P.L. 2007, ch. 73, art. 32, § 1; P.L. 2007, ch. 228, § 2; P.L. 2007, ch. 324, § 1; P.L. 2008, ch. 364, § 1; P.L. 2009, ch. 310, § 41; P.L. 2012, ch. 241, art. 17, § 4; P.L. 2018, ch. 170, § 1; P.L. 2019, ch. 88, art. 4, § 1.

Effective Dates.

P.L. 2019, ch. 88, art. 4, § 25, provides that the amendment to this section by that act takes effect on January 1, 2020.

Applicability.

P.L. 2018, ch. 170, § 4 provides: “Notwithstanding any general or special law to the contrary, this act shall not apply to a contract for construction relating to a project for which the owner’s contract was entered into prior to the effective date of this act [July 2, 2018].

Cross References.

Roofing contractors, § 5-73-1 et seq.

5-65-2. Applications.

  1. The following persons shall be exempt from registration under this chapter:
    1. A person who is constructing, altering, improving, or repairing his or her own personal property.
    2. A person who is constructing, altering, improving, or repairing a structure located within the boundaries of any site or reservation under the jurisdiction of the federal government.
    3. A person who furnishes materials, supplies, equipment, or furnishes products and does not fabricate them into, or consume them, in the performance of the work of a contractor. If the person wants to file a claim pursuant to this chapter they must be registered pursuant to this chapter.
    4. A person working on one structure or project, under one or more contracts when the price of all of that person’s contracts for labor, materials, and all other items is less than five hundred dollars ($500) and the work is of a casual, minor, or inconsequential nature. This subsection does not apply to a person who advertises or puts out any sign or card or other device that might indicate to the public that the person is a contractor.
    5. This section does not apply to a person who constructs or for compensation with the intent to sell the structure, or who arranges to have constructed a structure to be sold before, upon, or after completion. It shall be prima facie evidence that there was intent to offer the structure for sale if the person who constructed the structure or arranged to have the structure constructed does not occupy the structure for one calendar year after completion.
    6. A person performing work on a single-dwelling-unit property that person owns, whether occupied by that person or not, or a person performing work on that person’s residence, whether or not that person owns the residence. This subdivision does not apply to a person performing work on a structure owned by that person if the work is performed, in the pursuit of an independent business, with the intent of offering the structure for sale before, upon, or after completion.
    7. A person who performs work subject to this chapter as an employee of a contractor.
    8. A manufacturer of a mobile home constructed under standards established by the federal government.
    9. A person involved in the movement of:
      1. Modular buildings or structures other than mobile homes not in excess of fourteen feet (14´) in width.
      2. Structures not in excess of sixteen feet (16´) in width when these structures are being moved by their owner if the owner is not a contractor required to be registered under this chapter.
    10. Any person or business entity licensed by the state employing licensed trades persons as defined by chapters 6, 20, and 56 of this title, and 26 and 27 of title 28 and working within the purview of the license issued by the governing agency shall be exempt from all the provisions of this chapter except § 5-65-7 , requiring insurance. A valid certificate of insurance shall be required to be maintained by the licensing agency during the terms of the issuance date of the license as a condition for a valid license. Failure of the licensee to maintain this insurance shall result in loss of license pursuant to requirements of statutes governing the licensing authority.
  2. No registration shall be issued to a nonresident contractor until he or she has filed with the board a power of attorney constituting and appointing a registered agent upon whom all processes in any action or legal proceeding against him or her may be served, and in the power of attorney agrees that any lawful process against him or her that may be served upon his or her registered agent is of the same force and validity as if served on the nonresident contractor, and that the force continues irrevocably in force until such time as the board has been duly notified in writing of any change to that status.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1992, ch. 381, § 1; P.L. 1994, ch. 350, § 2; P.L. 2008, ch. 364, § 1; P.L. 2010, ch. 205, § 1; P.L. 2010, ch. 212, § 1.

5-65-3. Registration for work on a structure required of contractor — Issuance of building permits to unregistered or unlicensed contractors prohibited — Evidence of activity as a contractor — Duties of contractors.

  1. A person shall not undertake, offer to undertake, or submit a bid to do work as a contractor on a structure or arrange to have work done unless that person has a current, valid certificate of registration for all construction work issued by the board. A partnership, corporation, or joint venture may do the work; offer to undertake the work; or submit a bid to do the work only if that partnership, corporation, or joint venture is registered for the work. In the case of registration by a corporation or partnership, an individual shall be designated to be responsible for the corporation’s or partnership’s work. The corporation or partnership and its designee shall be jointly and severally liable for the payment of the registration fee, as required in this chapter, and for violations of any provisions of this chapter. Disciplinary action taken on a registration held by a corporation, partnership, or sole proprietor may affect other registrations held by the same corporation, partnership, or sole proprietorship, and may preclude future registration by the principal of that business entity.
  2. A registered partnership or corporation shall notify the board in writing immediately upon any change in partners or corporate officers.
  3. A city, town, or the state shall not issue a building permit to anyone required to be registered under this chapter who does not have a current, valid certificate of registration identification card or valid license that shall be presented at the time of issuance of a permit and shall become a condition of a valid permit. Each city, town, or the state that requires the issuance of a permit as a condition precedent to construction, alteration, improvement, demolition, movement, or repair of any building or structure or the appurtenance to the structure shall also require that each applicant for the permit as a condition to issuing the permit, is registered under the provisions of this chapter, giving the number of the registration and stating that the registration is in full force and effect, or, if the applicant is exempt from the provisions of this chapter, listing the basis for the exemption. The city, town, or the state shall list the contractor’s registration number on the permit obtained by that contractor, and if a homeowner is issued a permit, the building inspector or official must ascertain registration numbers of each contractor on the premises and shall inform the registration board of any non-registered contractors performing work at the site.
  4. Every city and town that requires the issuance of a business license as a condition precedent to engaging, within the city or town, in a business that is subject to regulation under this chapter, shall require that each licensee and each applicant for issuance or renewal of the license file, or has on file, with the city or town a signed statement that the licensee or applicant is registered under the provisions of this chapter and stating that the registration is in full force and effect.
  5. It shall be prima facie evidence of doing business as a contractor when a person for that person’s own use performs, employs others to perform, or for compensation and with the intent to sell the structure, arranges to have performed any work described in § 5-65-1(4) if within any one twelve-month (12) period that person offers for sale one or more structures on which that work was performed.
  6. Registration under this chapter shall be prima facie evidence that the registrant conducts a separate, independent business.
  7. The provisions of this chapter shall be exclusive and no city or town shall require or shall issue any registrations or licenses nor charge any fee for the regulatory registration of any contractor registered with the board. Nothing in this subsection shall limit or abridge the authority of any city or town to license and levy and collect a general and nondiscriminatory license fee levied upon all businesses, or to levy a tax based upon business conducted by any firm within the city or town’s jurisdiction, if permitted under the laws of the state.
    1. Every contractor shall maintain a list that shall include the following information about all subcontractors or other contractors performing work on a structure for that contractor:
      1. Names and addresses; and
      2. Registration numbers or other license numbers.
    2. The list referred to in subsection (h)(1) of this section shall be delivered to the board within twenty-four (24) hours after a request is made during reasonable working hours, or a fine of twenty-five dollars ($25.00) may be imposed for each offense.
  8. The following subcontractors who are not employees of a registered contractor must obtain a registration certificate prior to conducting any work: (1) Carpenters, including finish carpenters and framers; (2) Siding installers; (3) Roofers; (4) Foundation installers, including concrete installers and form installers; (5) Drywall installers; (6) Plasterers; (7) Insulation installers; (8) Ceramic tile installers; (9) Floor covering installers; (10) Swimming pool installers, both above ground and in ground; (11) Masons, including chimney installers, fireplace installers, and general masonry erectors. This list is not all inclusive and shall not be limited to the above-referenced contractors. No subcontractor licensed by another in-state agency pursuant to § 5-65-2 shall be required to register, provided that said work is performed under the purview of that license.
  9. A contractor including, but not limited to, a general contractor, shall not hire any subcontractor or other contractor to work on a structure unless the contractor is registered under this chapter or exempt from registration under the provisions of § 5-65-2 .
  10. A summary of this chapter, prepared by the board and provided at cost to all registered contractors, shall be delivered by the contractor to the owner when the contractor begins work on a structure; failure to comply may result in a fine.
  11. The registration number of each contractor shall appear in any advertising by that contractor. Advertising in any form by an unregistered contractor shall be prohibited, including alphabetical or classified directory listings, vehicles, business cards, and all other forms of advertisements. The violations may result in a penalty being assessed by the board per administrative procedures established.
    1. The board may publish, revoke, or suspend registrations and the date the registration was suspended or revoked on a quarterly basis.
    2. Use of the word “license” in any form of advertising when only registered may subject the registrant or those required to be registered to a fine of one hundred dollars ($100) for each offense at the discretion of the board.
  12. The contractor must see that permits required by the state building code are secured on behalf of the owner prior to commencing the work involved. The contractor’s registration number must be affixed to the permit as required by the state building code.
  13. The board may assess an interest penalty of twelve percent (12%) annually when a monetary award is ordered by the board.
  14. All work performed, including labor and materials, in excess of one thousand dollars ($1,000) shall be accompanied by a contract in writing. Contracts required pursuant to this subsection shall include a location on or near the signature-line location on or in which the parties to the contract shall initial to evidence the receipt of certain consumer education materials or information approved and provided by the board to the contractor. The educational materials and/or information shall include, but not be limited to, the following notice and shall be provided by the contractor to the homeowner:

    Failure to adhere to the provisions of this subsection may result in a one-thousand-dollar fine ($1,000) against the contractor and shall not affect the right of any other person performing work or furnishing materials of claiming a lien pursuant to chapter 28 of title 34. However, the person failing to provide the notice shall indemnify and hold harmless any owner, lessee, or tenant, or owner of less than the fee simple, from any payment or costs incurred on account of any lien claims by those not in privity with them, unless the owner, lessee, or tenant, or owner of less than the fee simple, shall not have paid such person.

  15. Contracts entered into must contain notice of right of rescission as stipulated in all pertinent Rhode Island consumer protection laws and/or § 5-65-27 , if applicable.
  16. The contractor must stipulate whether or not all the proper insurances are in effect for each job contracted.
  17. Contractors who are in compliance with the provisions of this section shall be exempt from the requirements of § 34-28-4.1 .
  18. In addition to the requirements of this chapter, contractors engaged in well-drilling activities shall also be subject to regulations pertaining to licensing and registration promulgated by the contractors’ registration and licensing board pursuant to chapter 65.2 of this title and § 46-13.2-4 .

NOTICE OF POSSIBLE MECHANIC’S LIEN To: Insert name of owner, lessee, or tenant, or owner of less than the simple fee. The undersigned is about to perform work and/or furnish materials for the construction, erection, alterations, or repair upon the land at (INSERT ADDRESS) under contract with you. This is a notice that the undersigned and any other persons who provide labor and materials for the improvement under contract with the undersigned may file a mechanic’s lien upon the land in the event of nonpayment to them. It is your responsibility to assure yourself that those other persons under contract with the undersigned receive payment for their work performed and materials furnished for the construction, erection, alteration, or repair upon the land.

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History of Section. P.L. 1989, ch. 222, § 1; P.L. 1992, ch. 381, § 1; P.L. 1994, ch. 350, § 2; P.L. 1996, ch. 322, § 1; P.L. 1999, ch. 349, § 1; P.L. 2001, ch. 322, § 1; P.L. 2006, ch. 648, § 1; P.L. 2007, ch. 73, art. 32, § 1; P.L. 2007, ch. 228, § 2; P.L. 2007, ch. 324, § 1; P.L. 2008, ch. 364, § 1; P.L. 2012, ch. 241, art. 17, § 4; P.L. 2017, ch. 398, § 1; P.L. 2017, ch. 425, § 1; P.L. 2018, ch. 346, § 17; P.L. 2019, ch. 88, art. 4, § 1.

Effective Dates.

P.L. 2019, ch. 88, art. 4, § 25, provides that the amendment to this section by that act takes effect on January 1, 2020.

NOTES TO DECISIONS

Builder’s Claim That Homebuyers Committed Abuse of Process.

Homebuyers who filed a complaint with the Rhode Island Contractors’ Registration Board (board) about a homebuilder’s performance did not use the authority of the board to obtain a result for which the process was not created, and as a result, the trial court did not err when it dismissed the builder’s claim that buyers were guilty of abuse of process. Butera v. Boucher, 798 A.2d 340, 2002 R.I. LEXIS 115 (R.I. 2002).

Public Duty Doctrine.

When a worker injured in a construction project sued a town for his injuries because it erroneously issued a building permit for the project without obtaining the contractor’s registration number, as required by R.I. Gen. Laws § 5-65-3(c) , the town was entitled to summary judgment because: (1) the issuance of building permits was immune under the public duty doctrine, despite the general waiver of sovereign immunity in R.I. Gen. Laws § 9-31-1 , as no private entity could do it; (2) the special duty exception to the public duty doctrine did not apply to the worker, as the building inspector who issued the building permit was not specifically aware of the worker, and R.I. Gen. Laws § 5-65-3(c) did not create a special duty to those in the worker’s position, because the statute’s duty was owed to the general public; and (3) the egregious conduct exception to the public duty doctrine did not apply because the inspector who issued the permit did not know it was issued to an unlicensed contractor, nor did the inspector know an unlicensed contractor was actually building this particular project. Torres v. Damicis, 853 A.2d 1233, 2004 R.I. LEXIS 146 (R.I. 2004).

Collateral References.

Violation of governmental regulations as to conditions and facilities of swimming pools as affecting liability in negligence. 79 A.L.R.4th 461.

5-65-4. Registration required to obtain judicial or administrative remedy — Exception.

  1. A contractor may not file a lien, file a claim with the board, or bring or maintain in any court of this state a suit or action for compensation for the performance of any work on any structure or for the breach of any contract for work on any structure that is subject to this chapter, unless the contractor was:
    1. Registered under this chapter at the time the contractor bid or entered into the contract for performance of the work unless the bid or contract predated July 1, 1990; and
    2. Registered continuously while performing the work for which compensation is sought.
  2. A court may choose not to apply this section if the court finds that to do so would result in a substantial injustice to the unregistered contractor.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1994, ch 350, § 2; P.L. 2001, ch. 322, § 1.

5-65-5. Registered application.

  1. A person who wishes to register as a contractor shall submit an application upon a form prescribed by the board. The application shall include:
    1. Workers’ compensation insurance account number, or company name if a number has not yet been obtained, if applicable;
    2. Unemployment insurance account number, if applicable;
    3. State withholding tax account number, if applicable;
    4. Federal employer identification number, if applicable, or if self-employed and participating in a retirement plan;
      1. The individual(s) name and business address and residential address of:
        1. Each partner or venturer, if the applicant is a partnership or joint venture;
        2. The owner, if the applicant is an individual proprietorship;
        3. The corporation officers and a copy of corporate papers filed with the Rhode Island secretary of state’s office, if the applicant is a corporation;
      2. Post office boxes are not acceptable as the only address;
    5. A statement as to whether or not the applicant has previously applied for registration, or is or was an officer, partner, or venturer of an applicant who previously applied for registration and if so, the name of the corporation, partnership, or venture; and
    6. Valid insurance certificate for the type of work being performed.
  2. A person may be prohibited from registering or renewing a registration as a contractor under the provisions of this chapter or his or her registration may be revoked or suspended if he or she has any unsatisfied or outstanding judgments from arbitration, bankruptcy, courts, or administrative agency against him or her relating to his or her work as a contractor, and provided, further, that a statement shall be provided to the board attesting to the information herein.
  3. Failure to provide or falsified information on an application, or any document required by this chapter, is punishable by a fine not to exceed ten thousand dollars ($10,000) or revocation of the registration, or both.
  4. An applicant must be at least eighteen (18) years of age.
  5. Satisfactory proof shall be provided to the board evidencing the completion of two and one-half (2.5) hours of continuing education units that will be required to be maintained by residential contractors as a condition of registration as determined by the board pursuant to established regulations.
  6. A certification in a form issued by the board shall be completed upon registration or license or renewal to ensure contractors are aware of certain provisions of this law and shall be signed by the registrant before a registration can be issued or renewed.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1992, ch. 381, § 1; P.L. 1994, ch. 350, § 2; P.L. 2006, ch. 648, § 1; P.L. 2007, ch. 228, § 2; P.L. 2008, ch. 364, § 1; P.L. 2012, ch. 241, art. 17, § 4; P.L. 2018, ch. 47, art. 3, § 1; P.L. 2021, ch. 162, art. 6, § 1, effective July 1, 2021.

Effective Dates.

P.L. 2012, ch. 241, art. 17, § 7, provides that the amendment to this section by that act takes effect on January 1, 2013.

5-65-6. Contractor to notify of address change — Effect of mail to last known address.

It is the duty of a contractor to notify the board in writing of any change of address while registered and for one year following the date the contractor’s registration expires or becomes inactive. The contractor shall notify the board in writing within ten (10) days of the date upon which the change of address occurs. Any proposed or final order or notice of hearing directed by the board to the last-known address of record shall be considered delivered when deposited in the United States mail and/or sent registered or certified or post office receipt secured. Any other communication directed by the board to the last-known address of record shall be considered delivered when deposited in the United States mail, regular mail.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1992, ch. 381, § 1; P.L. 1994, ch. 350, § 2; P.L. 2006, ch. 648, § 1.

5-65-7. Insurance required of contractors.

  1. Throughout the period of registration, the contractor shall have in effect public liability and property damage insurance covering the work of that contractor that shall be subject to this chapter in not less than the following amount: five hundred thousand dollars ($500,000) combined single limit, bodily injury and property damage.
  2. In addition, all contractors shall have in effect workers’ compensation insurance as required under chapter 29 of title 28. Failure to maintain required insurance shall not preclude claims from being filed against a contractor.
  3. The contractor shall provide satisfactory evidence to the board at the time of registration and renewal that the insurance required by subsection (a) of this section has been procured and is in effect. Failure to maintain insurance shall invalidate registration and may result in a fine to the registrant and/or suspension or revocation of the registration.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1992, ch. 381, § 1; P.L. 1994, ch. 350, § 2; P.L. 1999, ch. 349, § 1; P.L. 2006, ch. 648, § 1; P.L. 2018, ch. 47, art. 3, § 1.

NOTES TO DECISIONS

No Duty to Provide Coverage.

Superior court properly granted summary judgment in favor of an insurer in an injured party’s action for bodily injury coverage—after he fell from a deck when a railing gave way—because the insurance policy at issue had been canceled for nonpayment prior to the accident and this section required only that contractors maintain certain insurance and imposed no duty on the insurer to provide coverage for bodily injuries that might happen outside the policy period. Van Hoesen v. Lloyd's of London, 134 A.3d 178, 2016 R.I. LEXIS 41 (R.I. 2016).

5-65-7.1. Notice of cancellation or failure to renew policies.

Upon the cancellation or failure to renew, the insurance company having written a liability policy, as described in § 5-65-7 , shall notify the contractors’ registration and licensing board of the cancellation or failure to renew. The policy shall continue in effect until ten (10) days after written notice of the cancellation is given to the contractors’ registration and licensing board of the cancellation or termination of the liability policy by the issuing insurance company or companies in addition to any other notices that may be required by law. Any insurance company that fails to notify the contractors’ registration and licensing board, as required in this section, shall be subject to prosecution for a misdemeanor, and upon conviction of that offense, may be punished by a fine of not more than two hundred fifty dollars ($250) for each offense and shall be responsible for any claims, fines, or penalties from any parties resulting from lack of notice. All criminal actions for any violation of this section shall be prosecuted by the attorney general. The attorney general shall prosecute actions to enforce the payment penalties and fines at the request of the director of the department of business regulation or the director’s designee.

History of Section. P.L. 1999, ch. 349, § 2; P.L. 2006, ch. 648, § 1; P.L. 2019, ch. 88, art. 4, § 1.

Effective Dates.

P.L. 2019, ch. 88, art. 4, § 25, provides that the amendment to this section by that act takes effect on January 1, 2020.

5-65-8. Term of registration — Renewal — Registration identification card.

  1. A certificate of registration shall be valid for one (1) year from the date of issuance unless the registration is revoked or suspended as described in § 5-65-10 . It may be renewed by the same procedure provided for an original registration upon application and furnishing of any additional supplemental information that the board may require by rule.
  2. The board shall issue a pocket-card certificate of registration to a contractor registered under this chapter including a picture of the registrant as prescribed by the board in the rules and regulations. The Rhode Island department of administration, division of motor vehicles, shall, upon the board’s request, provide electronic copies of the digital photos of any registrant under this chapter on record to be incorporated into the contractors’ registration data bank to match the drivers’ licenses or IDs provided by registrants or applicants unless the applicant provides written notification to the board to the contrary.
  3. The board may vary the dates of registration renewal by giving to the registrant written notice of the renewal date assigned and by making appropriate adjustments in the renewal fee.
  4. The presentation of the registration or license identification card shall be mandatory at the time of permit application.
  5. If a registrant files in bankruptcy court, the board must be notified in writing by the registrant and kept informed of the status of the case until dismissed, discharged, or resolved in court.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1992, ch. 381, § 1; P.L. 1994, ch. 350, § 2; P.L. 2001, ch. 323, § 1; P.L. 2003, ch. 282, § 1; P.L. 2007, ch. 228, § 2; P.L. 2021, ch. 162, art. 6, § 1, effective July 1, 2021.

5-65-9. Registration fee.

  1. Each applicant shall pay to the board:
    1. For original registration or renewal of registration, a fee of one hundred and fifty dollars ($150).
    2. A fee for all changes in the registration, as prescribed by the board, other than those due to clerical errors.
  2. All fees and fines collected by the board shall be deposited as general revenues to support the activities set forth in this chapter until June 30, 2008. Beginning July 1, 2008, all fees and fines collected by the board shall be deposited into a restricted-receipt account for the exclusive use of supporting programs established by this chapter.
  3. On or before January 15, 2018, and annually thereafter, the board shall file a report with the speaker of the house and the president of the senate, with copies to the chairpersons of the house and senate finance committees, detailing:
    1. The total number of fines issued, broken down by category, including the number of fines issued for a first violation and the number of fines issued for a subsequent violation;
    2. The total dollar amount of fines levied;
    3. The total amount of fees, fines, and penalties collected and deposited for the most recently completed fiscal year; and
    4. The account balance as of the date of the report.
  4. Each year, the department of business regulation shall prepare a proposed budget to support the programs approved by the board. The proposed budget shall be submitted to the board for its review. A final budget request shall be submitted to the legislature as part of the department of business regulation’s annual request.
  5. New or renewal registrations may be filed online or with a third party approved by the board, with the additional cost incurred to be borne by the registrant.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1992, ch. 381, § 1; P.L. 1994, ch. 350, § 2; P.L. 1995, ch. 370, art. 40, § 34; P.L. 1996, ch. 322, § 1; P.L. 2003, ch. 282, § 1; P.L. 2006, ch. 648, § 1; P.L. 2007, ch. 73, art. 32, § 1; P.L. 2007, ch. 228, § 2; P.L. 2017, ch. 302, art. 7, § 14; P.L. 2018, ch. 47, art. 3, § 1; P.L. 2021, ch. 162, art. 6, § 1, effective July 1, 2021.

5-65-10. Grounds for discipline — Injunctions.

  1. The board or office may revoke, suspend, or refuse to issue, reinstate, or reissue a certificate of registration if the board or office determines, after notice and opportunity for a hearing:
    1. That the registrant or applicant has violated § 5-65-3 .
    2. That the insurance required by § 5-65-7 is not currently in effect.
    3. That the registrant, licensee, or applicant has engaged in conduct as a contractor that is dishonest or fraudulent that the board finds injurious to the welfare of the public.
    4. Has violated a rule or order of the board.
    5. That the registrant has knowingly assisted an unregistered person to act in violation of this chapter.
    6. That a lien was filed on a structure under chapter 28 of title 34 because the registrant or applicant wrongfully failed to perform a contractual duty to pay money to the person claiming the lien.
    7. That the registrant has substantially violated state or local building codes.
    8. That the registrant has made false or fraudulent statements on his or her application.
    9. That a registrant has engaged in repeated acts in violation of this chapter and the board’s rules and regulations inclusive of substandard workmanship and any misuse of registration.
    10. The board may take disciplinary action against a contractor who performed work, or arranged to perform work, while the registration was suspended, invalidated, or revoked. Deposits received by a contractor and ordered returned are not considered a monetary award when no services or supplies have been received.
    11. That the registrant breached a contract.
    12. That the registrant performed negligent and/or improper work.
    13. That the registrant has advertised with a license number instead of using a registration number.
    14. That the registrant has failed to complete a project(s) for construction or willfully failed to comply with the terms of a contract or written warranty.
    15. That the registrant has misrepresented his or her registration status as valid when the registration was suspended, revoked, invalidated, inactive, or unregistered as required by the board.
    16. That the registrant has failed to pay a fine or comply with any order issued by the board.
    17. That the registrant has failed to obtain or maintain the required continuing education/units required by the board, or failed to sign the statement required by the board for registration or renewal.
    18. When a violation for hiring a nonregistered contractor, working as a nonregistered contractor, or not maintaining the insurance required is issued, the registration may become invalidated until the violation is resolved or hearing is requested on this offense.
    19. That the registrant has violated any of the provisions of chapter 3 of title 25; 3, 12, 14, 36, or 50 of title 28; or 13 of title 37. A finding that the registrant has violated any of those chapters shall not be grounds for imposition of a monetary penalty under subsection (c) below.
  2. In addition to all other remedies, when it appears to the board that a person has engaged in, or is engaging in, any act, practice, or transaction that violates the provisions of this chapter, the board may direct the attorney general to apply to the court for an injunction restraining the person from violating the provisions of this chapter. An injunction shall not be issued for failure to maintain the list provided for in § 5-65-3(h) unless the court determines that the failure is intentional.
    1. For each first violation of a particular section of this chapter or any rule or regulation promulgated by the board, a fine not to exceed five thousand dollars ($5,000) may be imposed after a hearing by the board. Provided, further, that the board, at its discretion, may, after a hearing, impose an additional fine up to but not to exceed the face value of the contract or the actual damages caused by the contractor, whichever shall be greater. Where the claim is for actual damages, the board shall require proof satisfactory to the board indicating the damages. Where corrective work is completed as ordered by the board, the fine assessed may be reduced as determined by the board. Fines and decisions on claims or violations, inclusive of monetary awards, can be imposed against registered, as well as contractors required to be registered, by the board.
    2. For each subsequent violation of a particular subsection of this chapter or of a rule or regulation promulgated by the board, a fine not to exceed ten thousand dollars ($10,000) may be imposed after a hearing by the board. All fines collected by the board shall be deposited as general revenues until June 30, 2008, to be used to enforce the provisions of this chapter. Beginning July 1, 2008, all fines collected by the board shall be deposited into a restricted-receipt account to be used to enforce the provisions of this chapter.
    3. For the first violation of § 5-65-3 , only for nonregistered contractors, a fine of up to five thousand dollars ($5,000) for a first offense and up to ten thousand dollars ($10,000) for each subsequent offense shall be imposed.
  3. The hearing officer, upon rendering a conclusion, may require the registrant, in lieu of a fine, to attend continuing education courses as appropriate. Failure to adhere to the requirement may result in immediate revocation of registration.
  4. The expiration of a registration by operation of law or by order or decision of the board or a court, or the voluntary surrender of registration by the registrant, does not deprive the board of jurisdiction of an action or disciplinary proceeding against the registrant, or to render a decision suspending or revoking a registration.
  5. In emergency situations, when a registrant is acting to the detriment of the health, welfare, and safety of the general public, the director of the department of business regulation, or the director’s designee, may revoke or suspend a registration without a hearing for just cause for a period of thirty (30) days.
  6. A registrant may petition the board to partially or completely expunge his or her record provided that notice of the expungement proceedings has been provided to the claimant who was the subject of the violation. For purposes of this subsection, “notice” shall consist of a mailing to the last-known address of the claimant and need not be actual notice.
  7. Any person or contractor, registered or not, who or that uses another contractor’s registration, contractor’s registration identification card, or allows another person to use their contractor’s registration fraudulently in any way, will be subject to a fine not exceeding ten thousand dollars ($10,000).
  8. When the use of fraudulent advertising entices an individual to hire an unregistered contractor, a fine of up to ten thousand dollars ($10,000) may be imposed by the board.
  9. It shall be unlawful to retain a social security number or copy of the driver’s license from a registrant by a building official as a condition of obtaining a permit.
  10. The board is further authorized upon certain findings or violations to:
    1. Put a lien on property held by a contractor.
    2. Take action on registrant when the continuing-education requirements have failed to be attained as required in rules and regulations.
    3. When upon investigation a complaint reveals: serious code infractions; unsatisfied mechanic’s liens; abandonment of a job for a substantial period of time without apparent cause; or any other conduct detrimental to the public, the board can double the fines.
    4. Suspend, revoke, or refuse to issue, reinstate, or reissue a certificate of registration to any registrant who has contracted, advertised, offered to contract, or submitted a bid when the contractor’s registration is suspended, revoked, invalidated, inactive, or unregistered as required by the board.
  11. No person shall register as a contractor with the contractors’ registration board for the purpose of deceiving or circumventing the registration process by enabling a person whose registration has been suspended or revoked to conduct business. Provided, further, that any person who, in good faith, relies on the board or the contractor’s registration website for information regarding registration status of another, shall be exempt from violations pursuant to this section if the information is not correct. Violators of this section shall be jointly and individually liable for damages resulting from their activities as contractors pursuant to this chapter. Violations of this subsection may result in a revocation of registration and/or fines not to exceed ten thousand dollars ($10,000) and/or up to one year in jail. Furthermore, the director of the department of business regulation, or the director’s designee, shall require that all applicants for registration shall sign a statement that they are aware of this provision and its implications.
  12. Upon receipt of notice of a final determination, after the exhaustion of all appeals, by the department of labor and training, consent agreement, or court order that a registered contractor violated any of the provisions of chapter 3 of title 25; 3, 12, 14, 36, or 50 of title 28; or 13 of title 37 and owes any wages, benefits, or other sums arising out of the violation, the board shall immediately suspend the contractor’s registration of the contractor in accordance with this subsection. The suspension shall continue until all wages, benefits, or other sums owed have been paid or the contractor has entered into a written, binding agreement to pay the same acceptable to the department of labor and training and is not in default in payment under the agreement. If the contractor fails to remain current in payment under the agreement, the department of labor and training shall notify the contractors’ registration board and the suspension shall be imposed or reinstated, as the case may be. The foregoing sanction is mandatory, but shall not be grounds for imposition of a monetary penalty under subsection (c) above.
  13. When the registration of a contractor has been revoked or suspended, neither the contractor nor any successor entity or sole proprietorship that: (1) Has one or more of the same principals or officers as the partnership, limited partnership, limited-liability partnership, joint venture, limited-liability company, corporation, or sole proprietorship as the subject contractor; and (2) Is engaged in the same or equivalent trade or activity shall be qualified to register or retain a registration as a contractor under this chapter, unless and until the board shall determine that the basis of the revocation or suspension has been satisfied or removed and that the registrant or applicant otherwise satisfies the requirements for registration under this chapter. Notwithstanding the foregoing, a natural person may obtain relief from the application and enforcement of this subsection as to him or her if he or she can establish that he or she was not responsible for, and did not acquiesce to, the misconduct that is the basis of the revocation, suspension, or denial of registration.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1992, ch. 381, § 1; P.L. 1994, ch. 350, § 2; P.L. 1995, ch. 370, art. 40, § 34; P.L. 2001, ch. 323, § 1; P.L. 2003, ch. 282, § 1; P.L. 2006, ch. 648, § 1; P.L. 2007, ch. 228, § 2; P.L. 2008, ch. 364, § 1; P.L. 2012, ch. 293, § 1; P.L. 2012, ch. 348, § 1; P.L. 2019, ch. 88, art. 4, § 1; P.L. 2020, ch. 79, art. 2, § 2.

Effective Dates.

P.L. 2019, ch. 88, art. 4, § 25, provides that the amendment to this section by that act takes effect on January 1, 2020.

5-65-11. Types of allowable claims.

The board shall only accept and make determinations of the following types of claims for damages against contractors registered or required to be registered. This section shall apply to the following types of claims:

  1. Claims against a contractor by the owner of a structure for the following in performing any work subject to this chapter:
    1. Negligent work;
    2. Improper work;
    3. Breach of contract; or
    4. Contract disputes.
  2. Claims against a contractor by the owner of a structure to discharge or to recoup funds expended in discharging a lien established under chapter 28 of title 34 and under circumstances described under this subsection. The board may reduce any amount adjudged by the board under this section by any amount the claimant owes the contractor. The board shall only determine claims under this subsection if:
    1. The owner has paid the contractor for that contractor’s work subject to this chapter; and
    2. A lien is filed against the structure of the owner under chapter 28 of title 34 because the contractor failed to pay the person claiming the lien for that person’s contribution toward completion of the structure.
  3. Claims against a registered contractor by a registered contractor for the following in performing any work subject to this chapter:
    1. Negligent work;
    2. Improper work;
    3. Breach of contract;
    4. Furnishing labor or material or renting or supplying equipment to a contractor; or
    5. Contract dispute.
  4. Claims by an employee of a registered contractor.
  5. If at a hearing the contractor’s registration number is not on the contract, or recession clause when required by law, or mechanic’s lien notice; the registrant shall be subject to a fine.
  6. If a settlement/agreement reached by the parties, or payment plan is breached, the board may hold an administrative hearing to suspend or revoke the contractors’ registration, impose a fine, and provide monetary relief.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1994, ch. 350, § 2; P.L. 2001, ch. 323, § 1; P.L. 2003, ch. 282, § 1; P.L. 2006, ch. 648, § 1.

5-65-12. Procedure for making claims against a contractor — Investigation by board — Disciplinary action.

  1. Any person having a claim against a contractor of the type referred to in § 5-65-11 , may file with the board a statement of the claim in any form and with any fee that the board prescribes. The filing fee may be reimbursed to the claimant by the respondent, if the respondent is found to be at fault. Claims resolved prior to issuance of an order may be removed from the contractors’ registration board record pursuant to administrative regulations.
    1. All claims filed with the contractors’ registration board shall be heard by a designated hearing officer, unless either party prior to the administrative hearing, files a civil action on the matter in a state court. Upon receipt of a written notice and a copy of the filed civil complaint, the board shall discontinue processing the claim. If documentation is not received, the hearing will be conducted.
    2. A court judgment may constitute the basis for regulatory action against a contractor’s registration, which may result in the imposition of fines and penalties. A petition to enforce a mechanic’s lien does not necessarily constitute a civil action for purposes of this section.
  2. The board may refuse to accept, or refuse at any time to continue processing a claim, if:
    1. The same facts and issues involved in the claim have been submitted to any other entity authorized by law or the parties to effect a resolution and settlement;
    2. The claimant does not permit the contractor against whom the claim is filed to be present at any inspection made by the board;
    3. The board determines that the contractor against whom the claim is filed is capable of complying with the recommendations made by the board relative to the claim, but the claimant does not permit the contractor to comply with the recommendations. The board may refuse to accept further process of a claim under this paragraph only if the contractor was registered at the time the work was first performed and is registered at the time the board makes its recommendations; or
    4. The board determines that the nature or complexity of the claim is such that a court is the appropriate forum for the adjudication of the claim.
  3. The board shall not process a claim unless it is filed in a timely manner as follows:
    1. If the owner of a new structure files the claim, the board must receive the claim not later than one year after the date the structure was first occupied as determined from the date of issuance of the certificate of occupancy, or one year after the date of the closing on the structure, whichever occurs later.
    2. If the owner of an existing structure files the claim, the board must receive the claim not later than one year after the date the work was substantially completed as determined by the certificate of occupancy, or the date that work ceased.
    3. Regardless of whether the claim involves a new or existing structure, if the owner files the claim because the contractor failed to begin the work pursuant to a written contract, the board must receive the claim not later than one year after the date the parties entered into a written contract.
    4. Regardless of whether the claim involves a new or existing structure, if the owner files a claim because the contractor failed to substantially complete the work, the board must receive the claim not later than one year after the date the contractor ceased work on the structure.
    5. If a registered general contractor files the claim against a registered subcontractor because the subcontractor failed to substantially complete the work, the board must receive the claim not later than one year after the date the subcontractor ceased to work on the structure.
    6. If a material or equipment supplier, an employee, or a registered subcontractor files the claim, the board must receive the claim not later than one year after the date the registrant incurred the indebtedness.
    7. Any corrective work performed to resolve a claim shall be the responsibility of the contractor for one year beyond the completion date but only for corrective work performed.
  4. Upon acceptance of the statement of claim, the board shall give notice to the party against whom the claim is made and shall initiate proceedings to determine the validity of the claim. If, after investigation, the board determines that a violation of this chapter or of any rule promulgated under this chapter has occurred, the board shall order any action deemed appropriate, including action on the contractor’s registration and compensation to the claimant for any damages incurred as the result of the violation or claim. If the contractor performs accordingly, the board shall give that fact due consideration in any subsequent disciplinary proceeding brought by the board; provided, that the board shall suspend for a period of one year certification of any registrant who is found by final determination to have willfully and knowingly violated any provisions of this chapter with respect to three (3) or more structures within a one-year period.
  5. In any action brought by a person under this chapter, the board may award, in addition to the relief provided in this section, treble damages, reasonable attorney’s fees and costs, and any award for service of process costs pursuant to § 5-65-26 .
  6. Notwithstanding any language limiting an action pursuant to this chapter, whenever a consumer shall notify, in writing, a contractor of any problem with work performed by a contractor or subcontractor within one year of the completion of the work and the problem has not been corrected by the contractor or subcontractor, the aggrieved party shall have up to two (2) years from the date of completion of the contractor’s work to file a claim with the contractors’ registration board. The two-year (2) period shall not be construed as an extension of any one-year warranty period expressed in any contract.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1994, ch. 350, § 2; P.L. 1995, ch. 311, § 1; P.L. 1996, ch. 322, § 1; P.L. 2001, ch. 323, § 1; P.L. 2006, ch. 648, § 1; P.L. 2008, ch. 364, § 1.

5-65-12.1. Alternate procedure for making claims against a contractor — Private right of action.

  1. Any person having a claim against a contractor of the type referred to in § 5-65-11 , may, in addition to any other common law action or administrative remedy, bring an action under the rules of civil procedure in the superior court of the county in which the complainant resides, or the county where the person against whom the civil complaint is filed resides or has their principal place of business. A civil action filed in court under this section may be instituted in lieu of, or as a supplement to, the contractors’ registration board’s administrative proceedings and penalties only to the extent that the board’s final orders are insufficient to satisfy the claimant’s damages.
  2. In an action filed under this section in which the plaintiff prevails, the court may, in addition to any judgment awarded to the plaintiff, require treble damages, reasonable attorney’s fees, and the costs of the action to be paid by the defendant.

History of Section. P.L. 2006, ch. 648, § 2.

5-65-13. Nonlawyer may represent corporation before board.

A corporation that is registered or required to be registered as a contractor under this chapter and that is a party in any proceeding before the board or any representative of a party may appear or be represented in the proceeding by an officer of the corporation who is not a member of the state bar.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1994, ch. 350, § 2.

5-65-14. Builder board — Members — Terms — Confirmation — Vacancies — Qualification.

  1. The board shall consist of seventeen (17) members appointed by the governor, ten (10) of whom shall be registered contractors, of which two (2) shall be licensed roofers; one shall be a current member of the building codes standards committee pursuant to § 23-27.3-100.1.4 ; one shall be a representative of the general public; one shall be a licensed and practicing architect; and two (2) shall be licensed home inspectors; one who shall be the president of the Rhode Island Builders Association or designee; one shall be the executive director of the Utility Contractors Association of Rhode Island, or designee; one shall be the executive director of the Rhode Island Independent Contractors and Associates, or designee; and one who shall be the executive director of the Rhode Island Association of General Contractors or designee. The building code standards committee member shall be designated by the state building commissioner, and shall be appointed as provided in subsection (b) of this section.
  2. Except for the commissioner’s designee, the governor shall appoint seven (7) members for a term of three (3) years and five (5) members for a term of two (2) years. The governor shall appoint the member designated by the state building commissioner for a term of two (2) years. Each member reappointed by the governor shall serve for the term of his or her original appointment. Before the expiration of the term of a member, the governor shall appoint a successor. A member is eligible for reappointment. If there is a vacancy for any cause, the governor shall make an appointment immediately effective for the unexpired term. At the expiration of their terms, members shall remain and shall continue in their official capacity until a new member is appointed and confirmed.
  3. In order to be eligible for board membership, the eight (8) contractor members of the board must be registered and/or licensed under this chapter and maintain their registrations and/or licenses in good standing during their term of office. In order to be eligible for board membership, the two (2) home inspector members shall be licensed pursuant to chapter 65.1 of this title and shall maintain their license in good order during their terms of office.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1992, ch. 381, § 1; P.L. 1994, ch. 350, § 2; P.L. 2000, ch. 140, § 2; P.L. 2001, ch. 257, § 1; P.L. 2001, ch. 327, § 1; P.L. 2003, ch. 212, § 1; P.L. 2007, ch. 228, § 2; P.L. 2014, ch. 194, § 3; P.L. 2014, ch. 212, § 3.

5-65-15. Officers — Quorum — Compensation and expenses.

  1. The board shall select from among its members a chairperson, a vice chairperson, and any other officers for the terms and with the duties and powers necessary for the performance of their duties that the board determines.
  2. A majority of the members of the board shall constitute a quorum for the transaction of business.
  3. The board shall have a member of staff who shall attend all meetings and shall direct the conduct of any investigation that may be necessary in the preparation of any hearing.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1992, ch. 381, § 1; P.L. 1994, ch. 350, § 2; P.L. 2019, ch. 88, art. 4, § 1.

Effective Dates.

P.L. 2019, ch. 88, art. 4, § 25, provides that the amendment to this section by that act takes effect on January 1, 2020.

5-65-15.1. Staff.

  1. The office shall provide the board with appropriate staff, who shall perform their duties under the administrative supervision of the director of the department of business regulation or the director’s designee.
  2. The board may delegate the powers, functions, and duties to the provided staff.

History of Section. P.L. 1996, ch. 322, § 2; P.L. 2019, ch. 88, art. 4, § 1.

Effective Dates.

P.L. 2019, ch. 88, art. 4, § 25, provides that the amendment to this section by that act takes effect on January 1, 2020.

5-65-16. Powers and duties of the board — Investigatory powers of board — Use of city or county inspectors — Conduct of hearings.

  1. The board may investigate the activities of any person engaged in the building and construction industry to determine compliance with this chapter.
  2. With the assistance of the city or town, the board may conduct investigations with the assistance of the local building officials.
  3. The board has the power to administer oaths; issue notices and subpoenas in the name of the board; compel the attendance of witnesses and the production of evidence; hold hearings and perform any other acts that are reasonably necessary to carry out its duties under this chapter.
  4. If any person fails to comply with a subpoena issued under subsection (c) or refuses to testify on matters on which the person may be lawfully interrogated, the board may compel obedience.
  5. The board shall have the authority to hire private investigators or constables to carry out the duties of this chapter. The costs and expenses incurred by the hiring of private investigators may be borne by the contractor or nonprevailing party.
  6. In addition to all powers granted to the board under this chapter the board shall have the power and authority to:
    1. Award monetary damages and fines provided by this chapter;
    2. Order specific performance of any contract; and
    3. Provide any other relief and/or remedy provided by this chapter and the contractors’ registration board’s rules and regulations.
  7. The board may, at its discretion, require any contractor who has had action taken against his/her registration to obtain a bond not to exceed thirty thousand dollars ($30,000).

History of Section. P.L. 1989, ch. 222, § 1; P.L. 2001, ch. 323, § 1; P.L. 2008, ch. 364, § 1; P.L. 2009, ch. 310, § 42.

5-65-17. Rulemaking authority.

The board shall promulgate rules and fines to carry out the provisions of this chapter in accordance with the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 1989, ch. 222, § 1; P.L. 1992, ch. 381, § 1.

5-65-18. Mechanics’ lien notice.

As applicable to and in accordance with § 5-65-1 et seq., all written contracts entered into between a contractor under this chapter and a property owner must contain a statement that the contractor, subcontractors, or materialpersons may file a lien in accordance with the Rhode Island mechanics’ lien law, chapter 28 of title 34. In the event that mechanics’ liens are filed and there is no serious dispute, but merely a failure to pay, then the board may impose a suspension of the registration until such time as the liens are satisfied, either by payment, deposit of the funds in the registry of the court, or with the board.

History of Section. P.L. 1991, ch. 328, § 4; P.L. 2006, ch. 648, § 1.

Collateral References.

Architect’s services as within mechanics’ lien statute. 31 A.L.R.5th 664.

5-65-19. Penalty for operating without a registration — Failure to comply with a final order of the board — Repeat offense a felony.

  1. Any person who fails to register as a contractor as adjudged in a final order issued by the board, upon proper written notification, is deemed guilty of a misdemeanor and, upon conviction, shall be imprisoned for a term not exceeding one year, fined not more than one thousand dollars ($1,000), or both, for a first or second offense. A third or subsequent violation of this subsection is to be deemed a felony and, upon conviction, the violator shall be imprisoned for a term not exceeding two (2) years, fined not more than two thousand dollars ($2,000), or both.
  2. Any person who violates a final order of the board where the monetary total of the order including, but not limited to, the monetary judgment and/or fines, is not more than five thousand dollars ($5,000), upon proper written notification, is deemed guilty of a misdemeanor, and, upon conviction, shall be imprisoned for a term not exceeding one year, fined not more than one thousand dollars ($1,000), or both.
  3. Any person who violates a final order of the board where the monetary total of the order including, but not limited to, the monetary judgment and/or fines, is five thousand dollars ($5,000) or more, upon written notification, is deemed guilty of a felony and, upon conviction, shall be imprisoned for a term not exceeding ten (10) years, fined not more than ten thousand dollars ($10,000), or both.
  4. A final order shall be considered delivered when served to a defendant or designated agent to accept service. In addition to any sentence or fine imposed by the court under subsections (a), (b), and (c), the court shall order a defendant to comply with any outstanding final order of the board, including any monetary judgment and to pay to the board any outstanding fine or fines previously imposed by the board pursuant to this chapter.
  5. If a contractor is a repeat offender with violations of three (3) or more final orders of the board with respect to three (3) separate contracts executed by three (3) separate individuals/aggrieved parties and the violations are filed within a twenty-four-month (24) period, the violation shall be prosecuted as a felony and upon conviction the violator shall be subject to imprisonment for a term not to exceed ten (10) years or fined not more than ten thousand dollars ($10,000).

History of Section. P.L. 1992, ch. 381, § 2; P.L. 1994, ch. 350, § 2; P.L. 1996, ch. 322, § 1; P.L. 2001, ch. 322, § 1; P.L. 2006, ch. 648, § 1; P.L. 2008, ch. 364, § 1; P.L. 2018, ch. 64, § 1; P.L. 2018, ch. 69, § 1.

5-65-20. Administrative hearings.

  1. Contested claims or cases, contested enforcement proceedings, and contested administrative fines shall be heard, in accordance with the administrative procedures act, chapter 35 of title 42, and the administrative regulations promulgated by the board, by the hearings officer(s) assigned by the director of the department of business regulation or the director’s designee.
  2. The board has jurisdiction to hear appeals from decisions of the hearing officer(s), and may by regulation impose a filing fee, not to exceed twenty dollars ($20.00), for any appeal.
  3. Notwithstanding the preceding, the director of the department of business regulation, or the director’s designee, is authorized to resolve contested enforcement or claim proceedings through informal disposition pursuant to regulations promulgated by the board.

History of Section. P.L. 1996, ch. 322, § 2; P.L. 2019, ch. 88, art. 4, § 1.

Effective Dates.

P.L. 2019, ch. 88, art. 4, § 25, provides that the amendment to this section by that act takes effect on January 1, 2020.

5-65-21. Severability.

The provisions of this chapter are severable. If any provisions of this chapter or the application of this chapter to any person or circumstance is held invalid, the invalidity does not affect other provisions or applications of this chapter that can be given effect without regard to the invalid provisions or application.

History of Section. P.L. 1996, ch. 322, § 2.

5-65-22. Display of certificate of registration.

All contractors subject to the provisions of this chapter must include their certificate of registration number on all advertising proposals, contracts, and invoices displayed in a conspicuous manner.

History of Section. P.L. 1998, ch. 272, § 1.

5-65-23. Registration required as part of bidding process.

Whenever any bid is solicited by the state or any municipality or private party in the state of Rhode Island, the license number of any bidder who is a contractor required to be licensed under the laws of the state of Rhode Island shall be provided by the bidder. A space on the bid form, quotation, proposal, or other document shall indicate the bid price to perform the particular work involved and shall also indicate the license number of the contractor, as issued by the state of Rhode Island, to perform that work.

History of Section. P.L. 2000, ch. 504, § 1.

5-65-24. Limited applicability of chapter to nonresidential contractors.

  1. Notwithstanding anything set forth in this chapter to the contrary, the provisions of the following sections of this chapter shall not apply to any contractor who does not regularly, in the course of his or her or its business as a contractor, engage in construction activities as contemplated under this chapter on residential structures:
    1. § 5-65-3(p) ;
    2. § 5-65-3(k) ;
    3. § 5-65-4 ;
    4. § 5-65-11 ;
    5. § 5-65-12 ;
    6. § 5-65-18 ; and
    7. § 5-65-5(e) .
  2. Notwithstanding anything set forth in this chapter to the contrary, the provisions of the following sections of this chapter shall have only the limited applicability set forth below respecting any contractor who does not regularly in the course of his or her or its business as a contractor engage in construction activities as contemplated under this chapter on residential structures:
    1. The provisions of § 5-65-3(a) concerning the joint and several liability of applicable corporations or partnerships and their respective designees for the payment of the registration fee as requested in this chapter and for violations of any provisions of this chapter shall apply; and
    2. The provisions of § 5-65-10(a)(4) concerning violation of a rule or order of the board shall only apply to the extent that any such rule or order does not relate to or is not derived from one of the inapplicable provisions referenced in this section.

History of Section. P.L. 2001, ch. 322, § 2; P.L. 2006, ch. 648, § 1; P.L. 2007, ch. 73, art. 32, § 1; P.L. 2007, ch. 228, § 2; P.L. 2007, ch. 324, § 1; P.L. 2009, ch. 310, § 42.

5-65-25. Violations — Notice.

The board shall provide, by way of the contractors’ registration and licensing board website, by request, or by any other means approved by the board, a posting of all final orders issued by the board, all proposed orders of the board, and any and all hearing notices issued by the board. Provided, however, that all claims adjudicated in favor of the contractor shall be removed from the website or publications as soon as practicable.

Provided however, this shall not prevent the board from expunging a contractor’s record pursuant to established rules and regulations.

History of Section. P.L. 2006, ch. 648, § 2; P.L. 2007, ch. 228, § 2.

5-65-26. Notice of final order — Service of process — Restitution for homeowner contributions.

The board is hereby authorized to assess against any contractor a monetary award to the claimant up to but not to exceed one thousand dollars ($1,000) for the costs of service of process for any final orders of the board when the funds for the service of process were provided by an aggrieved party under this chapter. The aggrieved party’s claim shall be limited to the actual cost of the service of process or one thousand dollars ($1,000), whichever is less. The board shall require proof of costs from the aggrieved party evidencing the expense for the service of process.

History of Section. P.L. 2006, ch. 648, § 2; P.L. 2007, ch. 228, § 2.

5-65-27. Elderly person in-home solicitation — Right to cancel.

  1. Definitions.  For purposes of this section:
    1. “Consumer” means an individual who contracts with a person offering to undertake or submit a bid to do work as a contractor.
    2. “Elderly person” is defined in § 42-66-4.1 .
    3. “Emergency” means an urgent and immediate need for services, assistance, or repairs that must be addressed without delay to avoid substantial harm to persons or property.
    4. “In-home solicitation” means any transaction made at the consumer’s primary residence, including telephonic or online, except those transactions initiated by the consumer. A consumer response to an advertisement is not an in-home solicitation.
    5. “Person” means an individual, partnership, corporation, limited-liability company, association, or other group, however organized.
    6. “Services” means work, labor, and services as a contractor pursuant to this chapter, as well as other disciplines governed by the board pursuant to statutory law.
  2. In addition to all other methods of consumer protection provided by federal or state law, any contract that originates from an in-home solicitation of an elderly person for the purposes of performing work as a contractor pursuant to this chapter, as well as other disciplines governed by the board pursuant to statutory law, shall provide that any consumer who is an elderly person shall, in the absence of an emergency as defined herein, have three (3) days within which to cancel the in-home solicitation contract for contractor services.
  3. The contractor shall, at the time of the agreement in accordance with § 5-65-3 , give notice to the elderly person of all the rights that substantially comply with this section. The notice must:
    1. Appear in the agreement under the conspicuous caption: “Notice of Cancellation”; and
    2. Read as follows: . . . (date of transaction) “You may cancel this agreement, without any penalty or obligation, within three (3) business days from the above date. If you cancel, your cancellation notice must state that you do not wish to be bound by the agreement and mailed by registered or certified mail not later than midnight three (3) days following the consumer’s signing the agreement, excluding Sunday and any holiday on which regular mail deliveries are not made. All cancellations must be mailed to: (insert name and address of the seller).”
  4. Whenever the agreement fails to conform to the provisions of this section and the consumer or his or her agent has notified the seller of the consumer’s intent to cancel the agreement by registered mail, return receipt requested, the contractor shall, within twenty (20) days, return any deposit made by the consumer. Failure to return any deposit shall enable the consumer to recover from the contractor double damages in any subsequent legal proceeding.

History of Section. P.L. 2017, ch. 398, § 2; P.L. 2017, ch. 425, § 2.

Chapter 65.1 Home Inspectors

5-65.1-1. Short title.

This chapter shall be known and may be cited as the “Rhode Island Home Inspector Licensing Law.”

History of Section. P.L. 2000, ch. 140, § 1.

5-65.1-2. Definitions.

When used in this chapter:

  1. “Associate home inspector” means a person who is employed by a licensed home inspector to conduct a home inspection of a residential building on behalf of a client for a fee under the direct supervision of the licensed home inspector and is licensed pursuant to the provisions of this chapter.
  2. “Board” means the contractors’ registration and licensing board.
  3. “Client” means any person who engages, or seeks to engage, the services of a home inspector for the purpose of obtaining an inspection of, and written report upon, the condition of a residential building.
  4. “Home inspection” means an inspection and a written evaluation of the following readily visible and accessible components of a residential building: heating, cooling, plumbing, and electrical systems, structural components, foundation, roof, masonry structure, exterior and interior components, and any other related residential housing components, unless the scope of the inspection is otherwise clearly limited, in writing, in the inspection report. Unless otherwise expressly agreed to, in writing, a home inspection shall be based solely on observation of the readily visible and apparent condition of the foregoing components of a residential building as they exist on the date of the inspection, and it is not the purpose of the inspection to identify violations of, or noncompliance with, governmental codes or regulation. A home inspection shall, at a minimum, conform to any standards of practice promulgated by the board.
  5. “Home inspector” means any person licensed as a home inspector to conduct a home inspection of a residential building on behalf of a client for a fee pursuant to the provisions of this chapter.
  6. “Public body” or “agency” means any executive, legislative, judicial, regulatory, or administrative body of the state or any political subdivision thereof, including, but not limited to: public officials elected or appointed; any department, division, agency, commission, board, office, bureau, authority; any school, fire, or water district; or other agency or quasi-public agency of state or local government that exercises governmental functions.
  7. “Residential building” means a structure consisting of one or more residences and their appurtenances.

History of Section. P.L. 2000, ch. 140, § 1; P.L. 2007, ch. 228, § 3.

Effective Dates.

P.L. 2007, ch. 228, § 5 provides that the amendment to this section by that act shall take effect upon rules and regulations being filed by the board with the secretary of state.

5-65.1-3. Board — Powers and duties.

  1. The board shall have the following powers and duties:
    1. Administer and enforce the provisions of this chapter;
    2. Issue and renew licenses to home inspectors and associate home inspectors pursuant to the provisions of this chapter;
    3. Suspend, revoke, or fail to renew the license of a home inspector;
    4. Sanction or administer qualifying examinations for home inspector and associate home inspector applicants, and establish competency requirements;
    5. Establish standards for the continuing education of home inspectors;
    6. Adopt and publish a code of ethics and standards of practice for licensed home inspectors and associate home inspectors;
    7. Prescribe or change the charges for examinations and other services performed;
    8. Adopt rules and regulations pursuant to the administrative procedures act, chapter 35 of title 42, necessary to effectuate the purposes of this chapter; and
    9. Hear contested claims or cases; contested enforcement proceedings; and contested administrative fines in accordance with the administrative procedures act and the administrative regulations promulgated by the board.

History of Section. P.L. 2000, ch. 140, § 1.

5-65.1-4. Eligibility for licensure as home inspector.

  1. To be eligible for licensure as a home inspector, an applicant shall fulfill the following requirements:
    1. Be of good moral character;
    2. Have successfully completed high school or its equivalent;
    3. Have been engaged as a licensed associate home inspector for no less than one year, and have performed not less than one hundred (100) home inspections for compensation, or have been a registered/licensed contractor in good standing in any state for an aggregate of not less than five (5) years; and
    4. Have passed an examination approved or administered by the board. The examination may have been passed before the effective date of this chapter.
  2. After the effective date of this chapter, the board shall issue a license to any person upon application, provided that the applicant meets:
    1. The requirements of subsections (a)(1), (a)(2), and (a)(4), and either:
      1. Has been engaged in the practice of home inspections for compensation for not less than one year prior to the effective date of this chapter and has performed not less than one hundred (100) home inspections for compensation prior to the effective date of this chapter; or
      2. Is a registered/licensed contractor in good standing in any state for an aggregate of not less than five (5) years; or
    2. The requirements of subsections (a)(1) and (a)(2), and has been engaged in the practice of home inspections for compensation for not less than two (2) years and performed not less than one hundred fifty (150) home inspections for compensation prior to July 1, 2013.

History of Section. P.L. 2000, ch. 140, § 1; P.L. 2003, ch. 282, § 2; P.L. 2007, ch. 228, § 3; P.L. 2013, ch. 305, § 1; P.L. 2013, ch. 409, § 1.

Effective Dates.

P.L. 2007, ch. 228, § 5 provides that the amendment to this section by that act shall take effect upon rules and regulations being filed by the board with the secretary of state.

5-65.1-5. Eligibility for licensure as associate home inspector.

To be eligible for licensure as an associate home inspector, an applicant shall fulfill the following requirements:

  1. Be of good moral character;
  2. Have successfully completed high school or its equivalent;
  3. Have assisted in not less than fifty (50) home inspections in the presence of a licensed home inspector; and
  4. Have passed an examination approved or administered by the board. The examination may have been passed before July 1, 2013.

History of Section. P.L. 2000, ch. 140, § 1; P.L. 2013, ch. 305, § 1; P.L. 2013, ch. 409, § 1.

5-65.1-6. Identification cards and mandatory disclosures.

  1. Upon the issuance of a license by the board, an identification card shall also be issued to each licensed person.
  2. All licensees subject to the provisions of this chapter must include their license number on all advertising proposals, contracts, inspection reports, and invoices displayed in a conspicuous manner.
  3. Every written report of a home inspection provided to a client by a licensee must include:
    1. A notice that any complaints regarding the home inspection or the home inspector or associate home inspector who performed it may be directed to the board, and shall also include the current address and telephone number of the board.
    2. Where applicable, a disclosure that an inspection was performed by an associate home inspector.

History of Section. P.L. 2000, ch. 140, § 1.

5-65.1-7. Applicability.

  1. Any person who conducts a home inspection as defined by this chapter shall be licensed pursuant to this chapter and comply with all the requirements of this chapter and any subsequent rules or regulations promulgated by the board.
  2. The provisions of this chapter shall not apply to the following provided the person does not hold himself or herself out as a home inspector or one who performs home inspections as defined in this chapter:
    1. Any person who is employed by a governmental agency or public body and acting within the scope of that government employment;
    2. Any person regulated by the state as an architect, professional engineer, electrical contractor, or master plumber who is acting within the scope of practice of his or her profession or occupation;
    3. Any state-licensed real estate broker, broker-salesperson, or salesperson, who is acting within the scope of his or her profession;
    4. Any state-licensed real estate appraiser or certified general or residential real estate appraiser, who is acting within the scope of his or her profession;
    5. Any person regulated by the state as an insurance adjuster who is acting within the scope of his or her profession;
    6. Any person certified or registered as a pesticide applicator who is acting within the scope of his or her profession;
    7. Any person performing an inspection under the supervision of a licensed home inspector for the purpose of meeting the requirements of § 5-65.1-5(3) to qualify for licensure as an associate home inspector;
    8. Any person registered/licensed as a contractor in good standing in any state acting within the scope of his or her occupation and experience; and
    9. Any person conducting real estate inspections as a part of the insurance underwriting process.

History of Section. P.L. 2000, ch. 140, § 1.

5-65.1-8. Reciprocity.

Upon payment to the board of the requisite fee and submission of a completed application approved by the board, the board shall issue a home inspector license to any person who:

  1. Holds a valid license issued by another state or possession of the United States or the District of Columbia that has standards substantially equivalent to those of this state as determined by the board; or
  2. Is licensed in this state as a state certified real estate appraiser or to practice architecture or professional engineering, provided the person meets the requirements set forth in § 5-65.1-4(a)(1) , (a)(2), and (a)(4).

History of Section. P.L. 2000, ch. 140, § 1.

5-65.1-9. Fees.

  1. The board is empowered and directed to establish a fee schedule for the application, continuing education, examination, and reexamination of applicants for licensing; provided, that the fee for home inspector and associate home inspector licenses, and all subsequent renewals, shall be two hundred dollars ($200). All licenses issued by the board shall be valid for two (2) years.
  2. Any fees established, prescribed, or changed by the board shall be to the extent necessary to defray all proper expenses incurred by the board and any staff employed to administer this chapter, except that fees shall not be fixed at a level that will raise revenues in excess of the amount estimated to be so required.
  3. All fees and fines collected by the board shall be deposited as general revenues until June 30, 2008, and shall be allocated to provide sufficient resources to properly administer this program. Beginning July 1, 2008, all fees and fines collected by the board shall be deposited into a restricted-receipt account and shall be allocated to provide sufficient resources to properly administer this program.

History of Section. P.L. 2000, ch. 140, § 1; P.L. 2003, ch. 282, § 2; P.L. 2007, ch. 228, § 3.

Effective Dates.

P.L. 2007, ch. 228, § 5 provides that the amendment to this section by that act shall take effect upon rules and regulations being filed by the board with the secretary of state.

5-65.1-10. Insurance requirements.

  1. Every licensed home inspector and associate home inspector shall secure, maintain, and file with the board a certificate of insurance for an errors and omissions policy and a certificate of insurance for a general liability policy; both shall be for a minimum amount of five hundred thousand dollars ($500,000) in the aggregate. These certificates must be valid from the date a license is issued until the license expires. This proof shall be deemed satisfactory if the policy is carried by the corporation, partnership, or franchise for which the home inspector is a contracted employee and the home inspector or associate home inspector is specifically covered by such policy.
  2. Every proof of an errors and omissions or general liability policy required to be filed with the board shall not be effective unless it provides that the insurance may not be canceled until at least ten (10) days’ notice of intention to cancel or to not renew has been received in writing by the board.
  3. No contract provided by any licensed home inspector or associate home inspector shall contractually limit the liability of any such inspector to any amount less than the limits of insurance specified in subsection (a). Any such limitation provision in any home inspection contract issued on or after September 1, 2016, shall be void.
  4. Failure of the licensee or corporation or partnership to maintain this insurance will result in the immediate loss of his or her license.

History of Section. P.L. 2000, ch. 140, § 1; P.L. 2003, ch. 282, § 2; P.L. 2007, ch. 228, § 3; P.L. 2016, ch. 513, § 1.

Effective Dates.

P.L. 2007, ch. 228, § 5 provides that the amendment to this section by that act shall take effect upon rules and regulations being filed by the board with the secretary of state.

5-65.1-11. Grounds for discipline — Injunctions.

  1. After a hearing in accordance with the administrative regulations promulgated by the board, the board may revoke, suspend, or refuse to issue, reinstate, or reissue a license if the board determines that a licensee or applicant has:
    1. Disclosed any information concerning the results of the home inspection without the approval of a client or the client’s representatives;
    2. Accepted compensation from more than one interested party for the same service without the consent of all interested parties;
    3. Accepted commissions or allowances, directly or indirectly, from other parties dealing with his or her client in connection with the inspection for which the licensee is responsible;
    4. Failed to promptly disclose to a client information about any business interest of the licensee that may affect the client in connection with the home inspection;
    5. Obtained a license or authorization to sit for an examination, as the case may be, through fraud, deception, or misrepresentation;
    6. Engaged in the use or employment of dishonesty, fraud, deception, misrepresentation, false promise, or false pretense;
    7. Engaged in gross negligence, gross malpractice, or gross incompetence;
    8. Engaged in repeated acts of negligence, malpractice, or incompetence;
    9. Engaged in professional or occupational misconduct as may be determined by the board;
    10. Been convicted of any crime relating adversely to the activity regulated by the board. For the purpose of this subsection, a plea of guilty or nolo contendere shall be deemed a conviction;
    11. Had his or her authority to engage in the activity regulated by the board revoked or suspended by any other state, agency, or authority for reasons consistent with this section;
    12. Attempted to limit liability for negligent or wrongful errors or omissions by use of a clause within a performance contract that limits the damages for negligent or wrongful errors or omissions;
    13. Failed to provide a written report of the completed home inspection;
    14. Violated or failed to comply with any order of the board or provisions of this chapter or any rule or regulation promulgated and administered by the board pursuant to this chapter;
    15. Become incapable, for medical or any other material reason, of discharging the functions of a licensee in a manner consistent with the public’s health, safety, and welfare;
    16. Failed to obtain or maintain the insurance required by § 5-65.1-10 ;
    17. Knowingly assisted an unlicensed person to act in violation of this chapter; or
    18. Failed to comply with the provisions of § 5-20.8-8 .
  2. In addition to all other remedies, when it appears to the board that a person has engaged in, or is engaging in, any act, practice, or transaction that violates the provisions of this chapter, the board may direct the attorney general to apply to the court for an injunction restraining the person from violating the provisions of this chapter.
    1. The board may, after a hearing, impose a fine in an amount not to exceed five thousand dollars ($5,000) for the first violation of this chapter, or any rules or regulations promulgated by the board.
    2. For each second violation of a particular subsection of this chapter or of a rule or regulation promulgated by the board, a fine not to exceed ten thousand dollars ($10,000) may be imposed after a hearing by the board.
  3. The board, may, in lieu of a fine or other sanction, order a licensee to attend continuing-education courses as appropriate. Failure to adhere to the requirement could result in immediate revocation of a license.

History of Section. P.L. 2000, ch. 140, § 1; P.L. 2007, ch. 228, § 3; P.L. 2021, ch. 400, § 19, effective July 13, 2021; P.L. 2021, ch. 401, § 19, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 19, and P.L. 2021, ch. 401, § 19 enacted identical amendments to this section.

Effective Dates.

P.L. 2007, ch. 228, § 5 provides that the amendment to this section by that act shall take effect upon rules and regulations being filed by the board with the secretary of state.

5-65.1-12. Licensing requirement and prohibitions.

  1. Any person who provides, presents, calls, or represents himself or herself as a home inspector for compensation shall be licensed in accordance with the provisions of this chapter.
  2. No person, not licensed as a home inspector or associate home inspector, shall advertise or hold himself or herself out as a home inspector, or impersonate a home inspector or associate home inspector.
  3. No corporation, firm, association, or partnership shall engage in business as a home inspector or represent itself as an inspection company unless a licensed home inspector as provided in this chapter is continuously engaged in the supervision of its inspections.

History of Section. P.L. 2000, ch. 140, § 1; P.L. 2003, ch. 282, § 2.

5-65.1-13. Violations — Penalties.

  1. Any person who operates as a home inspector without a license as adjudged in a final order issued by the board, upon proper written notification, is deemed guilty of a misdemeanor, and, upon conviction, shall be imprisoned for a term not exceeding one year, fined not more than one thousand dollars ($1,000), or both, for a first or second offense. A third or subsequent violation of this subsection is to be deemed a felony and, upon conviction, the violator shall be imprisoned for a term not exceeding two (2) years, fined not more than two thousand dollars ($2,000), or both.
  2. Any person who violates a final order of the board where the monetary total of the order including, but not limited to, the monetary judgment and/or fines, is not more than five thousand dollars ($5,000), upon proper written notification, is deemed guilty of a misdemeanor and, upon conviction, shall be imprisoned for a term not exceeding one year, fined not more than one thousand dollars ($1,000), or both.
  3. Any person who violates a final order of the board where the monetary total of the order including, but not limited to, the monetary judgment and/or fines, is five thousand dollars ($5,000) or more, upon proper written notification, is deemed guilty of a felony and, upon conviction, shall be imprisoned for a term not exceeding ten (10) years, fined not more than ten thousand dollars ($10,000), or both.
  4. A final order shall be considered delivered when served to a defendant or designated agent to accept service. In addition to any sentence or fine imposed by the court under subsections (a), (b), and (c), the court shall order a defendant to comply with any outstanding final order of the board, including any monetary judgment and to pay to the board any outstanding fine or fines previously imposed by the board pursuant to this chapter. A final order of the board may also be enforced in a civil contempt proceeding brought upon complaint in the district court.
  5. If a home inspector is a repeat offender with violations of three (3) or more final orders of the board with respect to three (3) separate contracts executed by three (3) separate individuals/aggrieved parties and the violations are filed within a twenty-four-month (24) period, the violation shall be prosecuted as a felony and, upon conviction, the violator shall be subject to imprisonment for a term not to exceed ten (10) years or fined not more than ten thousand dollars ($10,000), or both.

History of Section. P.L. 2000, ch. 140, § 1; P.L. 2018, ch. 64, § 2; P.L. 2018, ch. 69, § 2.

5-65.1-14. Home inspector appointments to the board.

Notwithstanding any provisions in § 5-65-14 to the contrary, for a period of one year after the effective date of this chapter, the initial two (2) home inspectors appointed to the board shall not be required, at the time of their initial appointment, to be licensed under the provisions of this chapter, provided the appointed home inspectors have been engaged as home inspectors in this state for not less than five (5) years immediately preceding their appointment and have performed not less than one thousand (1,000) home inspections for compensation. Subsequent appointees to the board shall be licensed pursuant to this chapter and shall possess the foregoing minimum qualifications.

History of Section. P.L. 2000, ch. 140, § 1; P.L. 2007, ch. 228, § 3.

Effective Dates.

P.L. 2007, ch. 228, § 5 provides that the amendment to this section by that act shall take effect upon rules and regulations being filed by the board with the secretary of state.

Chapter 65.2 Rhode Island Well-Drilling, Pump Installers, and Water-Filtration Contractors Licensing Law

5-65.2-1. Short title and purpose.

This chapter shall be known and may be cited as the “Rhode Island Well-Drilling, Pump Installers, and Water-Filtration Contractors Licensing Law.” The purpose of this chapter is to establish a licensing program and minimum standards for governing and enforcing the installation, construction, repair, development, and abandonment of wells, well pumps, water-supply systems, water-treatment systems, and water-filtration systems to ensure competency in the field and to safeguard the public health and to provide an adequate supply of clean and uncontaminated water for all persons in the state. Nothing in this chapter should be construed as relieving a public water-supply system of complying with relevant statutes or with the rules and regulations pertaining to the certification of public drinking-water-supply treatment and public-drinking-water supply transmission and distribution operators (R23-65-DWQ).

History of Section. P.L. 2012, ch. 241, art. 17, § 6; P.L. 2016, ch. 27, § 1; P.L. 2016, ch. 32, § 1.

5-65.2-2. Definitions.

When used in this chapter:

  1. “Alter” means the replacing, changing, or repairing of any portion of the existing wells, water-supply systems, water-treatment systems, water-filtration systems, or pumps and the terms “alteration” and “altering” shall be construed accordingly.
  2. “Appurtenance” means and includes wells, pumps, filtration or treatment systems, or other devices installed therewith.
  3. “Board” means the contractors’ registration and licensing board.
  4. “Electrical work” means the limited electrical installation, connection, and services from a drop/wall switch, as supplied by a properly licensed electrician for water-supply systems, water-filtration systems, water-treatment systems, and pump installations. Contractors, as defined herein, may perform this limited electrical work. This definition shall not exclude or prevent any properly licensed electrician from performing this work.
  5. “Person” means an individual, partnership, corporation, association, limited-liability company, joint venture, or organization, or any combination thereof.
  6. “Plumbing work” means the limited plumbing necessary for the installation of water-supply systems, pumps, water-filtration systems, and water-treatment systems. Contractors as defined herein may perform this limited plumbing work. This definition shall not exclude or prevent any properly licensed plumber from performing this work.
  7. “Pump installer” means a person licensed by the contractors’ registration and licensing board who is employed in the placement and preparation for operation of pumps and pumping equipment and materials utilized in withdrawing or obtaining water for water-supply distribution lines, including all construction involved in making entrance to the well and establishing such seals and safeguards as may be necessary to protect such water from contamination and all construction involved in connecting such wells and pumping units or pressure tanks in the water-supply systems of structures served by such well, including repair and servicing to any existing installation.
  8. “Pumps and pumping equipment” means any equipment or materials utilized, or intended for use, in transferring, pressurizing, withdrawing, or obtaining groundwater supply including, but not limited to, seals, tanks, fittings, and controls.
  9. “Residential water-filtration/treatment-system contractor” means a person licensed by the contractors’ registration and licensing board to engage in the business of the placement and preparation for operation and service of residential water-filtration and water-treatment systems, equipment, devices, materials, and safeguards as may be necessary to protect such water from contamination and all construction involved in connecting such filtration/treatment systems to water-supply systems, including repair to any existing installation. Licensed residential water-filtration contractors are permitted to work on piping up to one and one-half inches (1.5") in diameter with a flow rate not to exceed eighty gallons (80 gals.) per minute.
  10. “Residential water-filtration/treatment-system installer” means a person licensed by the contractors’ registration and licensing board who is employed by a residential water-filtration/treatment-system contractor, as defined in this chapter, in the placement and preparation for operation of residential water-filtration and water-treatment systems, equipment, devices, materials, and safeguards as may be necessary to protect such water from contamination and all construction involved in connecting such filtration/treatment systems to water-supply systems, including repair or service to any existing installation. Licensed residential water-filtration/treatment-system installers are permitted to work on piping up to one and one-half inches (1.5") in diameter with a flow rate not to exceed eighty gallons (80 gals.) per minute.
  11. “Water-filtration system” means any appurtenance, equipment, or device for processing water to modify, enhance, or improve its quality for water supply.
  12. “Water-supply system” means and includes any apparatus, equipment, water service pipes, water distribution pipes, and the necessary connecting pipes, control valves, and all appurtenances adjacent to the structure or premises, including the supply of water to the main water distribution line, geothermal, and all other water needs that require storage, pumping, treatment, filtration, or alteration in any way.
  13. “Water-treatment system” means any appurtenance, equipment, or device used for the continuous disinfection, continuous treatment, and removal of contaminants from the water supply.
  14. “Well” means an artificial sanitary excavation or opening in the ground by which groundwater can be obtained or through which it flows under natural pressure or is artificially withdrawn; and for the purposes of this chapter attached as an appurtenance to a building or structure.
  15. “Well contractor” means well-drilling contractors, pump installers, and residential water-filtration/treatment-system contractors, or those contractors who engage in the installation, removal, alteration, servicing, or repair of water pumps, appurtenances, water-supply systems, water-treatment systems, or residential water-filtration systems, including all connections between wells and storage tanks.
  16. “Well-drilling contractor” means a person who is licensed by the contractors’ registration and licensing board and engages in well drilling, including the installation, alteration, removal, or repair of water-supply systems.
  17. “Well drilling” means all acts necessary for the construction, installation, or alteration of a water-supply well or to obtain water from a well or wells by drilling, or by excavation that is drilled, cored, bored, washed, driven, dug, jetted, or otherwise constructed.

History of Section. P.L. 2012, ch. 241, art. 17, § 6; P.L. 2016, ch. 27, § 1; P.L. 2016, ch. 32, § 1.

5-65.2-3. Licensing procedure.

  1. In addition to the provisions of chapter 65 of this title, the contractors’ registration and licensing board is authorized to establish a program to license well-drilling contractors, pump installers, water-filtration/treatment-system contractors, and water-filtration/treatment-system installers to ensure persons performing well-drilling work, pump installation, and residential water-filtration/treatment-system installation are properly qualified to conduct the work. On or before January 1, 2017, the board shall promulgate regulations to establish a licensing program that provides for appropriate categories of work to ensure proper qualifications pertaining to the use of different equipment and approaches to construct, install, repair, alter, or remove wells, well pumps, water-supply systems, residential water-treatment/supply systems, and water-filtration systems, and that will allow well-drilling contractors, pump installers, or residential water-filtration/treatment-system contractors and residential water-filtration/treatment-system installers, as described herein, to fulfill the relevant requirements of chapter 65 of this title through the licensing program. Upon promulgation of applicable regulations, the license issued by the board to a contractor shall serve to fulfill the contractor registration requirements of chapter 65 of this title.
  2. Pursuant to board regulations, all persons seeking to be licensed as a well-drilling contractor, pump installer, residential water-filtration/treatment-system contractor, or residential water-filtration/treatment-system installer as defined herein shall submit an application to the contractors’ registration and licensing board on the form or forms that the board requires. As specified by the board, the application shall include the following information:
    1. The name of the applicant;
    2. The business address of the applicant;
    3. The mailing address of the applicant;
    4. The telephone number of the applicant;
    5. Any registration number and/or other license numbers issued by the state, or any city or town;
    6. A statement of the skills, training, and experience of the applicant sufficient to ensure public safety, health, and welfare; and
    7. Agent of service for out-of-state contractors.
  3. To be eligible for licensure as a well-drilling contractor, pump installer, residential water-filtration/treatment-system contractor, or residential water-filtration/treatment-system installer, an applicant shall also fulfill the following requirements:
    1. Be of good moral character;
    2. Pass appropriate examinations approved or administered by the contractors’ registration and licensing board, unless otherwise exempted in accordance with § 5-65-3(g) , and has met all the requirements of the rules and regulations established by the board;
    3. Be in good standing with the contractors’ registration and licensing board;
    4. Take five (5) hours continuing education per year as set forth and recognized by the contractors’ registration and licensing board.
  4. The contractors’ registration and licensing board is authorized to adopt rules and regulations pursuant to the administrative procedures act, chapter 35 of title 42, necessary to effectuate the purpose of this chapter. Rules and regulations shall provide a fine schedule, which will establish grounds for discipline for license holders or nonlicensed contractors. Fines shall be structured not to exceed five thousand ($5,000) dollars per day, per offense for conduct injurious to the welfare of the public, as well as those required pursuant to § 5-65-10 .
  5. Any person applying for a license or registration and making any material misstatement as to his or her experience or other qualifications, or any person, firm, or corporation subscribing to or vouching for any misstatement, shall be subject to the discipline and penalties provided in § 5-65-10 .
  6. No corporation, firm, association, or partnership shall engage in the business of well drilling, pump installation, water-filtration/treatment-system contracting, or represent itself as a well-drilling contractor, pump installer, or water-filtration/treatment-system contractor, unless a licensed well-drilling contractor, pump installer, or water-filtration/treatment-system contractor, as provided in this chapter, is continuously engaged in the supervision of its well-drilling, pump-installing, or water-filtration/treatment-system contracting work. If the license holder dies or otherwise becomes incapacitated, the corporation, firm, or association shall be allowed to continue to operate until the next examination shall be given or such times as the board shall see fit. In no event shall the corporation, firm, association, or partnership continue to operate longer than twelve (12) months or in accordance with the board’s established rules and regulations without satisfying the license requirements of this chapter.
  7. Those well-drilling contractors who were previously registered with the department of environmental management, and remain in good standing as of December 31, 2012, and that were previously exempted from fulfilling the testing requirements required for registration by the department, shall also be exempt from the testing requirements set forth in this chapter.
  8. Prior to January 1, 2018, the authority shall, without examination, upon receipt of the fees required in this chapter, issue through the contractors’ registration and licensing board a residential water-filtration/treatment-system installer’s license to any applicant who shall present satisfactory evidence that they have the qualifications for the type of license applied for. After January 1, 2018, in order to qualify for a residential water-filtration/treatment-system installer’s license the eligible individual shall be required to pass a written examination and show proof as required by the contractors’ registration and licensing board of their eligibility.
  9. Satisfactory evidence shall be any of the following that is applicable:
    1. The applicant must have been employed by a contractor registered with the contractors’ registration and licensing board to do business designating water-filtration/treatment-system installation and/or service as a service provided for the previous one year and been actively engaged in the installation and servicing of water-filtration/treatment systems during that time period; or
    2. Notarized confirmation by three (3) water-filtration/treatment-system contractors that the applicant has the requisite training and experience to be licensed under this chapter.
  10. Prior to January 1, 2018, the authority shall, without examination, upon receipt of the fees required in this chapter, issue through the contractors’ registration and licensing board, a residential water-filtration/treatment-system contractor’s license to any applicant who shall present satisfactory evidence that they have the qualifications for the type of license applied for. After January 1, 2018, in order to qualify for a residential water-filtration/treatment-system contractor’s license, the eligible contractor shall be required to pass a written examination and show proof, as required by the contractors’ registration and licensing board, of their eligibility.
  11. Satisfactory evidence shall be any of the following that is applicable:
    1. The owner or owners of an enterprise must have been active in water filtration for the previous two (2) years; or
    2. The contractor has been previously registered with the contractors’ registration and licensing board to do business designating water-filtration/treatment system installation and/or service as a provided service; or
    3. Notarized confirmation by three (3) water-filtration/treatment-system contractors that the applicant has the requisite training and experience to be licensed under this chapter.

History of Section. P.L. 2012, ch. 241, art. 17, § 6; P.L. 2016, ch. 27, § 1; P.L. 2016, ch. 32, § 1.

5-65.2-4. Fees.

All persons seeking a well-drilling professional license shall submit a payment in the amount of two hundred dollars ($200), which shall support the licensing program, representing a license fee. All fines and fees collected pursuant to this chapter shall be deposited into a restricted-receipt account for the exclusive use of supporting programs established by the board.

History of Section. P.L. 2012, ch. 241, art. 17, § 6.

5-65.2-5. Penalties for violations.

  1. Any person who operates as a well drilling contractor without a license as adjudged in a final order issued by the board, upon proper written notification, is deemed guilty of a misdemeanor and, upon conviction, shall be imprisoned for a term not exceeding one year, fined not more than one thousand dollars ($1,000), or both, for a first or second offense. A third or subsequent violation of this subsection is to be deemed a felony and, upon conviction, the person shall be imprisoned for a term not exceeding two (2) years, fined not more than two thousand dollars ($2,000), or both.
  2. Any person who violates a final order of the board where the monetary total of the order including, but not limited to, the monetary judgment and/or fines, is not more than five thousand dollars ($5,000), upon proper written notification, is deemed guilty of a misdemeanor, and, upon conviction, shall be imprisoned for a term not exceeding one year, fined not more than one thousand dollars ($1,000), or both.
  3. Any person who violates a final order of the board where the monetary total of the order including, but not limited to, the monetary judgment and/or fines, is five thousand dollars ($5,000) or more, upon proper written notification, is deemed guilty of a felony and, upon conviction, shall be imprisoned for a term not exceeding ten (10) years, fined not more than ten thousand dollars ($10,000), or both.
  4. A final order shall be considered delivered when served to a defendant or designated agent to accept service. In addition to any sentence or fine imposed by the court under subsections (a), (b), and (c), the court shall order a defendant to comply with any outstanding final order of the board, including any monetary judgment, and to pay to the board any outstanding fine or fines previously imposed by the board pursuant to this chapter.
  5. If a well drilling contractor is a repeat offender with violations of three (3) or more final orders of the board with respect to three (3) separate contracts executed by three (3) separate individuals/aggrieved parties and the violations are filed within a twenty-four-month (24) period, the violation shall be prosecuted as a felony and, upon conviction, the violator shall be subject to imprisonment for a term not to exceed ten (10) years or fined not more than ten thousand dollars ($10,000), or both.

History of Section. P.L. 2018, ch. 64, § 3; P.L. 2018, ch. 69, § 3.

Chapter 65.3 Underground Utility Contractors

5-65.3-1. Purpose.

The purpose of this chapter is to establish provisions, qualifications, and procedures for licensing underground utility contractors engaged in the laying or repairing of underground utilities.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-2. Definitions.

When used in this chapter:

  1. “Board” means the contractors’ registration and licensing board as defined in § 5-65-1 .
  2. “Underground utility” means the installation, repair, alteration, or replacement of underground utilities, sewer lines, storm drainage lines or water lines, water service and laterals, laying drains and related services outside of buildings, making connections with public and/or private underground utilities, provided that such work is to be done between the main, lateral, related services and/or appurtenances to within five feet (5´) of the outer wall of a building or structure and specifically excluding gas and telecommunications work and any work defined in § 28-27-28 .
  3. “Underground utility contractor” means any corporation, association, sole proprietorship, firm, partnership, limited-liability corporation, limited-liability partnership, or other business organization that is engaged in the installation, repair, alteration, or replacement of underground utilities, outside of buildings, making connections with public and/or private underground utilities, provided that such work is to be done between the main, laterals, services and/or appurtenances to within five feet (5´) of the outer walls of a building or structure. The term “underground utility contractor” shall include any agent, servant, and/or employee of a licensed underground utility contractor. The term “underground utility contractor” does not include individuals licensed under chapter 20 of this title entitled “plumbers, irrigators, and water system installers.”

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-3. License required.

  1. It is unlawful for any underground utility contractor to engage in the installation, repair, alteration, or replacement of an underground utility as defined in this chapter without a valid license issued by the board.
  2. Any person licensed as a master plumber under the provisions of chapter 20 of this title or as a master pipefitter under the provisions of chapter 27 of title 28 shall be exempt from the requirement to obtain both an underground utility contractor’s license, as required by this chapter, and an installer’s license, as required by chapter 56 of this title, provided that the master plumber or master pipefitter shall be required to comply with the provisions of §§ 5-65.2-3 and 5-56-7 .
  3. Any public utility, or agent thereof, regulated by the public utilities commission or the division of public utilities and carriers shall be exempt from the provisions of this chapter.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

Compiler’s Notes.

In 2015, the reference in subsection (b) of this section to “provisions of chapter 27 of this title” was corrected to read “provisions of chapter 27 of title 28.”

5-65.3-4. Conditions for obtaining an underground utility contractor’s license.

To obtain a license under this chapter, an underground utility contractor must submit to the contractors’ registration and licensing board an application for an underground utility contractor’s license completed in its entirety, together with a fee of two hundred dollars ($200). The application must also comply with the following requirements:

  1. The applicant must have demonstrated to the board that the underground utility contractor is capable of installing, repairing, alternating, or replacing sewer lines, storm drainage lines or waterlines, and services in accordance with approved plans and specifications.
  2. The applicant must obtain a passing grade on a written examination provided by a third party approved by the board, intended to demonstrate an understanding of the rules and regulations, and ability to read and interpret approved plans and specifications. Any applicant who fails an examination for a license is permitted to take further examinations upon payment of the prescribed fee for each examination. The board shall ensure that these services are provided and conduct examinations at least three (3) times each year. All examinations shall be conducted at places designated by the board.
  3. The board shall approve or deny applications for an underground utility contractor’s license as soon after the examination as is practicable. Each applicant who has successfully passed the examination and has had an application approved for a license as an underground utility contractor shall have issued and mailed to them, by the board, a certificate of license specifying that the applicant is an underground utility contractor.
  4. Any contractor licensed in accordance with this chapter shall not be required to obtain another license or to take any other test by any other municipality in order to perform underground utility work.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-5. Expiration and renewal of licenses.

All licenses of underground utility contractors issued by the board expire every two (2) years on the anniversary date of the license’s issuance and may be renewed on or before that date for a period of two (2) years upon payment of a two hundred dollar ($200) fee.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-6. Duties of the contractors’ registration and licensing board.

The contractors’ registration and licensing board shall:

  1. Prepare, provide, and conduct examinations in conjunction with a third-party provider;
  2. Prepare license certificates and issue them in conformity with this chapter and the rules and regulations;
  3. Maintain an up-to-date record specifying the names and addresses of licensed underground utility contractors of this state. Such record shall include the dates of issuance of licenses and shall be open to public inspection; and
  4. Maintain an up-to-date record of any complaints filed with the board, the nature of those complaints, dates of complaints, and any final orders made based on the complaints.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-7. Licensing of underground utility contractors granted without examination.

  1. After enactment of this chapter, and at any time prior to the expiration of six (6) months following enactment of this section, the board shall, without examination, upon payment of the fees required in this chapter and approval of the issuance of the license by the board, issue a license to any applicant who shall present satisfactory evidence as described in subsection (b) of this section that the applicant has the qualification for issuance of an underground utility contractor license. Thereafter, in order to qualify for an underground utility contractor license after the initial “grandfather” window, said licensee may renew the license pursuant to § 5-65.3-5 .
  2. The owner(s) of a business entity as defined in § 5-65.3-2(3) shall meet the requirements of this section for issuance of a license without examination, provided, that any city or town that has previously granted a contractor or licensee a license within the last five (5) years shall continue to grant the license for work specifically related to the license and where work is to be performed only in that city or town, provided the contractor continues to meet all other local requirements for licensure, and shall not require the contractor or licensee to take and pass the statewide licensing examination.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-8. Responsibilities, performance and conduct.

A licensed underground utility contractor shall perform all work in compliance with the plans and specifications approved by the local municipality or other appropriate authority having jurisdiction over the utility and/or work to be performed.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-9. Insurance required of underground utility contractors.

  1. Throughout the period of licensure, the contractor shall have in effect public liability and property damage insurance covering the work of that contractor that shall be subject to this chapter in not less than the following amount: one million dollars ($1,000,000) combined single limit, bodily injury, and property damage.
  2. In addition, all contractors shall be in compliance with workers’ compensation insurance as required under chapter 29 of title 28. Failure to maintain insurance shall not preclude claims from being filed against a contractor.
  3. The contractor shall provide satisfactory evidence to the board at the time of license and renewal that the insurance required by subsections (a) and (b) of this section has been procured and is in effect. Failure to maintain insurance shall invalidate registration and may result in a fine to the licensee.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-10. Bond requirement.

Every applicant for a certificate of license as an underground utility contractor to carry on the business of installing, repairing or servicing, altering or replacing sewer lines, storm drainage lines, or water lines and related services in accordance with this chapter, shall furnish a bond, satisfactory to the board, in the sum of twenty thousand dollars ($20,000), conditioned substantially that the applicant indemnifies and holds harmless the several cities and towns of this state and their officers from all suits and actions of every name and description brought against any of those cities, towns, and state, or any of their officers for, or on account of, any injuries or damages received or sustained by any person in consequence of, or resulting from, any work performed by the applicant or its employees, servants, or agents; or of or from any improper materials used in the work; or of or from any negligence in guarding the work; or of or from any act or omission of the applicant, or its employees, servants, or agents.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-11. License not transferable or assignable.

Underground utility contractor’s licenses are not transferable or assignable and automatically become invalid upon a change of ownership or upon suspension or revocation of a license.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-12. Denial, suspension, and revocation of licenses.

  1. The board may suspend or revoke the license of any underground utility contractor after a hearing when the weight of the evidence establishes any one or more of the following specific violations:
    1. Obtaining, or conspiring with others to obtain, a license by inducing the issuance of that license in consideration of the payment of money or any other thing of value, or by and through a willful or fraudulent misrepresentation of facts in the procurement of a license;
    2. Gross negligence or incompetence in the performance of any licensed work in accordance with any underground utility ordinance, or rules of any city or town, or any law of this state regulating the conduct of sewer drain and water work;
    3. Willfully and fraudulently loaning its license to any other underground utility contractor for the purpose of permitting that underground utility contractor to engage in any underground utility work in violation of the provision of this chapter;
    4. Willfully violating any of the provisions of this chapter; and
    5. For any violation of § 5-65-10 .
  2. When an application for a license is denied, a hearing shall be granted, provided the aggrieved applicant requests a hearing, in writing, within ten (10) days of the denial with the board.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-13. Procedure for revocation of license.

  1. No proceeding to revoke a license, as provided in this section, shall be instituted unless filed with the board within one year immediately following the date or dates of violation.
  2. No license of an underground utility contractor shall be revoked or cancelled until after a full and impartial hearing is completed as provided in this section.
  3. No hearing for the purpose of revoking any license of an underground utility contractor shall be held unless there is first placed on file with the board a verified complaint, in writing, reciting in the complaint, with reasonable particularity, a statement of facts that, if proved, would be sufficient to constitute a violation of one or more of the specifications for revocation of license as prescribed in this chapter.
  4. Upon the filing of a verified complaint as provided in this section, the board shall promptly set a date for a hearing of the charges of the complaint. The board shall promptly, by registered or certified mail, forward to the licensee charged in the complaint a true and correct copy of the complaint and notification of the time and place when and where a hearing of those charges is to be held.
  5. At the time and place fixed in the notification, the board shall proceed to a hearing of the charges specified in the complaint. No hearing upon the charges of the complaint shall be held unless the records of the board contain evidence that the licensee charged in the complaint has been served with a copy of the complaint and notification at least twenty (20) days prior to the date of the hearing; provided, that the appearance of the charged licensee, either on its own behalf or by counsel, constitutes proof that sufficient notice of the hearing was served.
  6. A complaining party, individually or by counsel, may aid in the presentation of evidence toward sustaining the complaint. Ample opportunity shall be accorded for a hearing of all evidence and statement of counsel either in support of or against the charges of the complaint. Upon good cause shown, the date of the hearing on the complaint may be continued provided the licensee and other interested parties are reasonably notified about the date of continuance.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-14. Subpoena of witness.

The board shall have the power to subpoena and bring before it any witness to take testimony, either orally or by deposition, or both, in any proceeding authorized by law.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-15. Administration of oaths.

The board shall have the power to administer oaths to witnesses at a hearing, which the board is authorized by law to conduct, and any other oaths authorized or administered by the board.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-16. Recommendations of board — Order — Rehearing — Review.

Any applicant or licensee aggrieved by any decision or ruling of the board may appeal that decision to the board which shall review the decision or ruling. Upon review, the board shall order that the license of the licensee charged in the complaint be revoked or the complaint shall be dismissed. A copy of the order shall be immediately served upon the licensee either personally or by registered or certified mail. The order of the board is final unless the charged licensee, the division, or complainant, within twenty (20) days after receipt of that order, files his or her motion, in writing, for a review of the order specifying in the motion the points and reasons for the order. The filing of a motion for a review stays the operation of the order pending final decision on that motion. A motion for a review shall be immediately scheduled for a hearing. The decision on review shall be issued, in writing, to the licensee.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-17. Penalties for violations.

  1. Violations of any provision of this chapter shall be subject to the penalties as follows: any corporation, association, sole proprietorship, firm, partnership, limited-liability corporation, limited-liability partnership, or other business organization licensed by the board shall be subject to a fine up to five thousand dollars ($5,000) for the first offense and up to ten thousand dollars ($10,000) for the second and subsequent violations of this chapter.
  2. Any person who operates as an underground utility contractor without a license as adjudged in a final order issued by the board, upon proper written notification, is deemed guilty of a misdemeanor and, upon conviction, shall be imprisoned for a term not exceeding one year, fined not more than one thousand dollars ($1,000), or both, for a first or second offense. A third or subsequent violation of this subsection is to be deemed a felony and, upon conviction, the person shall be imprisoned for a term not exceeding two (2) years, fined not more than two thousand dollars ($2,000), or both.
  3. Any person who violates a final order of the board where the monetary total of the order including, but not limited to, the monetary judgment and/or fines, is not more than five thousand dollars ($5,000), upon proper written notification, is deemed guilty of a misdemeanor and, upon conviction, shall be imprisoned for a term not exceeding one year, fined not more than one thousand dollars ($1,000), or both.
  4. Any person who violates a final order of the board where the monetary total of the order including, but not limited to, the monetary judgment and/or fines, is five thousand dollars ($5,000) or more, upon proper written notification, is deemed guilty of a felony, and, upon conviction, shall be imprisoned for a term not exceeding ten (10) years, fined not more than ten thousand dollars ($10,000), or both.
  5. A final order shall be considered delivered when served to a defendant or designated agent to accept service. In addition to any sentence or fine imposed by the court under subsections (b), (c), and (d), the court shall order a defendant to comply with any outstanding final order of the board, including any monetary judgment, and to pay to the board any outstanding fine or fines previously imposed by the board pursuant to this chapter.
  6. If an underground utility contractor is a repeat offender with violations of three (3) or more final orders of the board with respect to three (3) separate contracts executed by three (3) separate individuals/aggrieved parties and the violations are filed within a twenty-four-month (24) period, the violation shall be prosecuted as a felony, and upon conviction, the violator shall be subject to imprisonment for a term not to exceed ten (10) years or fined not more than ten thousand dollars ($10,000), or both.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1; P.L. 2018, ch. 64, § 4; P.L. 2018, ch. 69, § 4.

5-65.3-18. Enforcement.

It shall be the duty of the board to enforce the provisions of this chapter. The appropriate local municipality authority, involved in the day-to-day inspection of sewer or drain installations, shall assist the board in enforcing the provisions of this chapter. The appropriate local municipality shall have the authority to demand the production of the licenses required by this chapter on any site where underground utility contractor work is being installed and have the authority to investigate, and where appropriate, make complaints, pursuant to § 5-65.3-12 , where sufficient evidence has been obtained to sustain a reasonable belief that a violation of this chapter has occurred.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-19. Prosecution of violations and penalties.

It is the duty of the board to fine any corporation, association, individual proprietorship, firm, partnership, limited-liability corporation, limited-liability partnership, or other business organization violating any of the provisions of this chapter, upon complaint being made, whether brought pursuant to §§ 5-65.3-12 and/or 5-65-18 .

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-20. Injunctions.

Violations of this chapter may be enjoined upon a complaint being filed in the superior court for the county in which those violations have been committed, by the board or by any appropriate local municipal authority. An injunction may be granted by the superior court after a hearing in open court against any corporation, association, individual proprietorship, firm, partnership, limited-liability corporation, limited-liability partnership, or other business organization that has violated any of the provisions of this chapter without regard to whether proceedings have been, or may be, instituted before the board or whether criminal proceedings have been, or may be, instituted. No ex parte restraining orders shall be issued in suits brought pursuant to this section.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-21. Investigation and prosecution of violations.

The board shall act as an investigator with respect to the enforcement of all sections of this chapter; shall act as an investigator with respect to the enforcement of all provisions of laws relative to the licensing of underground utility contractors; and to this effect, whenever a complaint is made to the board, or its designee, that provisions of this chapter are being violated, the board may issue an order to cease and desist from that violation and may impose penalties against the violator and against the contractors.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-22. Judicial review of proceedings.

Any further appeal from the actions of the board is in accordance with the provisions of the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-23. Licensing authority.

The board shall carry out the functions and duties conferred upon it by this chapter. The licensing authority shall adopt standards, rules, and regulations, pursuant to chapter 35 of title 42, for the administration of the licensing program established under this chapter and related activities.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-24. Municipal inspectors and installation permits.

Nothing contained in this chapter prohibits any city or town from requiring permits for the installation, maintenance, and repair of underground utility systems and collecting fees for the installation and repair of an underground utility system.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

5-65.3-25. Severability.

If any provision or part of this chapter, or its application to any entity or circumstances is held unconstitutional or otherwise invalid, the remaining provision of this chapter and the application of the provisions to the other entities or circumstances other than those to which it is held invalid shall not be affected by the invalidity.

History of Section. P.L. 2014, ch. 194, § 1; P.L. 2014, ch. 212, § 1.

Chapter 66 Debt Pooling [Repealed.]

5-66-1 — 5-66-10. [Repealed.]

Repealed Sections.

This chapter (P.L. 1991, ch. 349, § 2; P.L. 1992, ch. 368, § 1), relating to debt pooling, was repealed by P.L. 2004, ch. 579, § 1, effective July 14, 2004.

Former § 5-66-10 (P.L. 1991, ch. 349, § 2), concerning applicability to nonprofit credit counseling service corporations, was repealed by P.L. 1992, ch. 368, § 2, effective July 21, 1992.

Chapter 67 Pawtucket — Business Registration

5-67-1. Registration required.

    1. The city of Pawtucket may, by ordinance, require each person, persons, corporation, partnership, or other business organization operated for profit, prior to transacting or conducting business from any situs in the city, to obtain a registration certificate stating the name under which the person or persons, corporation, partnership, or other business organization is conducted or transacted, its business address, and a specific description of the business activity.
    2. The registration certificate that is issued prior to transacting or conducting business from any situs in the city shall be issued without the imposition of a filing fee. In addition, there shall be no general requirement that a registration certificate shall be renewed annually. Renewal of a registration certificate shall be required only when there is a change in the situs as originally designated and filed.
    1. No ordinance passed under this section shall take effect until thirty (30) days after its final passage.
    2. No person or persons, corporation, partnership, or other business organization with less than one thousand dollars ($1,000) of tangible property shall be required to register under this chapter.
  1. Any ordinance passed under this section shall be deemed as retroactive in its application so that it applies to each person, persons, corporation, partnership, or other business organization already transacting or conducting business from any situs in the city.

History of Section. P.L. 1992, ch. 296, § 1.

5-67-2. Penalties.

Any person or persons, corporation, partnership, or other business organization carrying on, conducting, or transacting business as previously stated who fails to comply with the provisions of this chapter shall be fined not exceeding five hundred dollars ($500).

History of Section. P.L. 1992, ch. 296, § 1.

Chapter 67.1 North Smithfield — Business Registration

5-67.1-1. Registration required.

    1. The town of North Smithfield may, by ordinance, require each person, persons, corporation, partnership, or other business organization that is physically located in the town of North Smithfield and is operated for profit, to obtain a registration certificate stating the name under which the person or persons, corporation, partnership, or other business organization is conducted or transacted, its business address, and a specific description of the business activity. Any person, persons, corporation, partnership, or other business organization already licensed by the town of North Smithfield, and that is working within the purview of the license issued by the town, shall be exempt from the registration requirement under this chapter.
    2. The registration certificate shall be filed with the town clerk by March 15, 2005, together with a twenty-five dollar ($25.00) filing fee. In addition, there shall be the general requirement that a registration certificate shall be renewed annually by December 1 of each calendar year together with a twenty-five dollar ($25.00) filing fee beginning December 1, 2005.
  1. No ordinance passed pursuant to this section shall take effect until thirty (30) days after its final passage.
  2. Any ordinance passed under this section shall be deemed as retroactive, in its application so that it applies to each person, persons, corporation, partnership, or other business organization already transacting or conducting business from any situs in the town.

History of Section. P.L. 2005, ch. 24, § 1; P.L. 2005, ch. 101, § 1.

5-67.1-2. Penalties.

Any person or persons, corporation, partnership, or other business organization carrying on, conducting, or transacting business as previously stated, who or that fails to comply with the provisions of this chapter, shall be fined in an amount not exceeding five hundred dollars ($500).

History of Section. P.L. 2005, ch. 24, § 1; P.L. 2005, ch. 101, § 1.

Chapter 68 Board of Radiologic Technology [Repealed.]

5-68-1. [Repealed.]

History of Section. P.L. 1993, ch. 169, § 1; Repealed by P.L. 2010, ch. 137, § 1, effective June 25, 2010; P.L. 2010, ch. 139, § 1, effective June 25, 2010.

Compiler’s Notes.

Former § 5-68-1 concerned purpose of chapter.

5-68-2. [Repealed.]

History of Section. P.L. 1993, ch. 169, § 1; P.L. 2004, ch. 554, § 1; Repealed by P.L. 2010, ch. 137, § 1, effective June 25, 2010; P.L. 2010, ch. 139, § 1, effective June 25, 2010.

Compiler’s Notes.

Former § 5-68-2 concerned definitions.

5-68-3. [Repealed.]

History of Section. P.L. 1993, ch. 169, § 1; Repealed by P.L. 2010, ch. 137, § 1, effective June 25, 2010; P.L. 2010, ch. 139, § 1, effective June 25, 2010.

Compiler’s Notes.

Former § 5-68-3 concerned license requirement.

5-68-4. [Repealed.]

History of Section. P.L. 1993, ch. 169, § 1; Repealed by P.L. 2010, ch. 137, § 1, effective June 25, 2010; P.L. 2010, ch. 139, § 1, effective June 25, 2010.

Compiler’s Notes.

Former § 5-68-4 concerned the board of radiologic technology.

5-68-5. [Repealed.]

History of Section. P.L. 1993, ch. 169, § 1; Repealed by P.L. 2010, ch. 137, § 1, effective June 25, 2010; P.L. 2010, ch. 139, § 1, effective June 25, 2010.

Compiler’s Notes.

Former § 5-68-5 concerned licensing by training and examination.

5-68-6. [Repealed.]

History of Section. P.L. 1993, ch. 169, § 1; Repealed by P.L. 2010, ch. 137, § 1, effective June 25, 2010; P.L. 2010, ch. 139, § 1, effective June 25, 2010.

Compiler’s Notes.

Former § 5-68-6 concerned licensing without examination.

5-68-7. [Repealed.]

History of Section. P.L. 1993, ch. 169, § 1; P.L. 2004, ch. 554, § 1; Repealed by P.L. 2010, ch. 137, § 1, effective June 25, 2010; P.L. 2010, ch. 139, § 1, effective June 25, 2010.

Compiler’s Notes.

Former § 5-68-7 concerned exemptions.

5-68-8. [Repealed.]

History of Section. P.L. 1993, ch. 169, § 1; Repealed by P.L. 2010, ch. 137, § 1, effective June 25, 2010; P.L. 2010, ch. 139, § 1, effective June 25, 2010.

Compiler’s Notes.

Former § 5-68-8 concerned other licensing provisions.

5-68-9. [Repealed.]

History of Section. P.L. 1993, ch. 169, § 1; P.L. 2001, ch. 77, art. 14, § 26; P.L. 2007, ch. 73, art. 39, § 23; Repealed by P.L. 2010, ch. 137, § 1, effective June 25, 2010; P.L. 2010, ch. 139, § 1, effective June 25, 2010.

Compiler’s Notes.

Former § 5-68-9 concerned fees.

5-68-10. [Repealed.]

History of Section. P.L. 1993, ch. 169, § 1; Repealed by P.L. 2010, ch. 137, § 1, effective June 25, 2010; P.L. 2010, ch. 139, § 1, effective June 25, 2010.

Compiler’s Notes.

Former § 5-68-10 concerned denial, suspension, revocation, and reinstatement of licenses.

5-68-11. [Repealed.]

History of Section. P.L. 1993, ch. 169, § 1; P.L. 1995, ch. 370, art. 40, § 35; Repealed by P.L. 2010, ch. 137, § 1, effective June 25, 2010; P.L. 2010, ch. 139, § 1, effective June 25, 2010.

Compiler’s Notes.

Former § 5-68-11 concerned receipts.

5-68-12. [Repealed.]

History of Section. P.L. 1993, ch. 169, § 1; Repealed by P.L. 2010, ch. 137, § 1, effective June 25, 2010; P.L. 2010, ch. 139, § 1, effective June 25, 2010.

Compiler’s Notes.

Former § 5-68-12 concerned penalties.

5-68-13. [Repealed.]

History of Section. P.L. 1993, ch. 169, § 1; Repealed by P.L. 2010, ch. 137, § 1, effective June 25, 2010; P.L. 2010, ch. 139, § 1, effective June 25, 2010.

Compiler’s Notes.

Former § 5-68-13 concerned severability.

Chapter 68.1 Radiologic Technologists

5-68.1-1. Purpose.

The purpose of this chapter is to establish standards of education, training, and experience, and to require the licensure of radiologic technologists.

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2.

5-68.1-2. Definitions.

As used in this chapter:

  1. “Authorized user” means a licensed practitioner who meets the training and experience requirements defined in rules and regulations promulgated pursuant to chapter 1.3 of title 23.
  2. “Board” means the board of radiologic technology.
  3. “Department” means the Rhode Island department of health.
  4. “Director” means the director of the Rhode Island department of health.
  5. “Financial interest” means being:
    1. A licensed practitioner of radiologic technology; or
    2. A person who deals in goods and services that are uniquely related to the practice of radiologic technology; or
    3. A person who has invested anything of value in a business that provides radiologic technology services.
  6. “License” means a license issued by the director to practice radiologic technology.
  7. “Licensed practitioner” means an individual licensed to practice medicine, chiropractic, or podiatry, or an individual licensed as a registered nurse practitioner or physician assistant in this state.
  8. “Medical physicist” means an individual, other than a licensed practitioner, who practices independently one or more of the subfields of medical physics, and is registered or licensed under rules and regulations promulgated pursuant to section 1.3 of title 23.
  9. “National organization” means a professional association or registry, approved by the director, that examines, registers, certifies, or approves individuals and education programs relating to operators of sources of radiation.
  10. “Nuclear medicine technologist” means an individual, other than a licensed practitioner, who compounds, calibrates, dispenses, and administers radiopharmaceuticals, pharmaceuticals, and radionuclides under the general supervision of an authorized user for benefit of performing a comprehensive scope of nuclear medicine procedures, and who has met and continues to meet the licensure standards of this chapter.
  11. “Person” means any individual, corporation, partnership, firm, association, trust, estate, public or private institution, group, agency, political subdivision of this state or any other state, or political subdivision of any agency thereof and any legal successor, representative, agent, or agency of the foregoing.
  12. “Radiation therapist” means an individual, other than a licensed practitioner, who utilizes ionizing radiation under the general supervision of an authorized user for the planning and delivery of therapeutic procedures, and who has met and continues to meet the licensure standards of this chapter.
  13. “Radiologist” means a licensed practitioner specializing in radiology who is certified by or eligible for certification by the American Board of Radiology or the American Osteopathic Board of Radiology, the British Royal College of Radiology, or the Canadian College of Physicians and Surgeons.
  14. “Radiologist assistant” means an unlicensed individual, other than a licensed practitioner, who performs as an advanced-level radiologic technologist and works under the general supervision of a radiologist to enhance patient care by assisting the radiologist in the medical imaging environment, and who is certified by the American Registry of Radiologic Technologists, or by a comparable national certifying board as approved by the director.
  15. “Radiology technologist” also known as a “radiographer” means an individual, other than a licensed practitioner, who performs a comprehensive scope of diagnostic radiologic procedures under the general supervision of a licensed practitioner using external ionizing radiation, resulting in radiographic or digital images, and who has met and continues to meet the licensure standards of this chapter.
  16. “Source of radiation” means any substance or device emitting or capable of producing ionizing radiation for the purpose of performing therapeutic or diagnostic radiologic procedures on human beings.
  17. “Student” means an individual enrolled in a course of study for medicine or radiologic technology.
  18. “Supervision” means and includes:
    1. “Direct supervision” means supervision and control by a licensed practitioner who assumes legal liability for the services rendered by the radiologic technologist, which supervision requires the physical presence of the licensed practitioner for consultation and direction of the actions of the radiologic technologist.
    2. “General supervision” means supervision whereby a licensed practitioner, who assumes legal liability for the services rendered, authorizes the services to be performed by the radiologic technologist, which supervision, except in cases of emergency, requires the easy availability or physical presence of the licensed practitioner for consultation and direction of the actions of the radiologic technologist.

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2; P.L. 2015, ch. 141, art. 20, § 12.

5-68.1-3. Board — Composition — Appointment and terms of members — Duties.

  1. Within the Rhode Island department of health there shall be a board of radiologic technology consisting of seven (7) members as follows:
    1. One member shall be a member of the public who has no financial interest in radiologic technology other than as a consumer or possible consumer of its services. They shall have no financial interest personally or through a spouse.
    2. Two (2) members of the board shall be licensed practitioners, one of whom shall be a radiologist who utilizes ionizing radiation in the normal course of his or her practice. Nominations for the licensed practitioner board members shall be submitted by the Rhode Island Medical Society and the Rhode Island Radiological Society to the director for approval.
      1. Three (3) members of the board shall be licensed under this chapter. One shall be from radiography, one shall be from nuclear medicine, and one shall be from radiation therapy.
      2. The director shall appoint as radiologic technologist members of the board, individuals currently practicing as registered radiologic technologists in Rhode Island.
    3. One member shall be a representative of the hospital association who shall be nominated by the Hospital Association of Rhode Island and submitted to the director for approval.
      1. The director, with the approval of the governor, shall make appointments for a three-year (3) term, but no individual shall serve more than two (2) consecutive terms. Members of the board as of the effective date of this chapter, who were previously appointed pursuant to § 5-68-4 , shall continue to serve for the remainder of their appointed term.
      2. In the event of a vacancy in one of the positions, the director, with the approval of the governor, may appoint an individual who shall fill the unexpired term.
    4. The board shall meet during the first month of each calendar year to select a chairperson and for other purposes. At least one additional meeting shall be held during each calendar year. Meetings may also be called at any time by the chairperson, the director, or by written request of two (2) members of the board. A majority of the fully authorized board constitutes a quorum.
  2. The duties of the board shall be as follows:
    1. To evaluate the qualifications of applicants and review the required examination results administered by a testing agency approved by the board;
    2. To recommend to the director the issuance of licenses to applicants who meet the requirements of this chapter;
    3. To administer, coordinate, and enforce the provisions of this chapter and investigate persons engaging in practices that may violate the provisions of the chapter;
    4. To recommend to the director the denial or revocation of licenses to practice radiologic technology as provided in this chapter; and
    5. To recommend to the director adoption of rules and regulations pursuant to this chapter.

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2.

5-68.1-4. License required.

  1. No individual shall practice radiologic technology or shall represent himself or herself as practicing radiologic technology, unless he or she is licensed under this chapter. The provisions of this section do not apply to:
    1. A licensed practitioner when practicing within his or her field of expertise.
    2. A student of medicine, when under the general supervision of an instructor who is a radiologist and when acting within the scope of practice.
    3. A dentist, licensed dental hygienist, or certified dental assistant when practicing within his or her field of expertise.
    4. A podiatry assistant who has received a “certificate of completion” from the community college of Rhode Island or other equivalent training approved by the board, after having taken and passed the course on “radiography for podiatry assistance” and when acting within the practice of podiatry.
    5. A medical physicist when practicing within his or her field of expertise.
    6. A licensed healthcare provider at a licensed ambulatory-care facility on Block Island and where the director of health determines a waiver of the licensure requirements to be in the interest of public health.
    7. A radiologist assistant who is certified by the American Registry of Radiologic Technologists, or by a comparable national certifying board as approved by the director.
  2. Nothing in this chapter is intended to limit, preclude, or interfere with the practice of persons and healthcare providers licensed by appropriate agencies of Rhode Island.
  3. This chapter does not prohibit an individual enrolled in an approved school of radiologic technology, under the direct supervision of a radiologist or a licensed radiologic technologist, from performing those duties essential for completion of a student’s clinical service.
  4. This chapter is not intended to supersede the mammography rules and regulations promulgated pursuant to § 23-17-32 .

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2; P.L. 2013, ch. 265, § 2; P.L. 2013, ch. 354, § 2; P.L. 2015, ch. 141, art. 20, § 12.

5-68.1-5. Licensure standards.

  1. The director shall develop standards for licensure of the following categories of radiologic technology:
    1. Radiographer;
    2. Nuclear medicine technologist;
    3. Radiation therapist; and
    4. [Deleted by P.L. 2015, ch. 141, art. 20, § 12].
  2. The director may promulgate rules and regulations that authorize additional categories of licensure, consistent with a radiologic technology certification established by the American Registry of Radiologic Technologists, the Nuclear Medicine Technology Certification Board, or other national organization.
  3. The director may promulgate rules and regulations that establish requirements for radiologic technologist authorization to operate hybrid imaging modalities, including, but not limited to, a combination nuclear medicine-computed tomography device.

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2; P.L. 2015, ch. 141, art. 20, § 12.

5-68.1-6. Licensing by training and examination.

  1. Any individual desiring to become a licensed radiologic technologist shall make application to the board on a written form and in the manner that the board prescribes; shall pay all the required application fees; and shall furnish evidence to the board that the applicant:
    1. Has successfully completed a training program approved by the board; and
    2. Has passed the appropriate examination(s) given by the American Registry of Radiologic Technologists, the Nuclear Medicine Technology Certification Board, or other national organization specified in rules and regulations adopted pursuant to this chapter.
  2. Graduate practice.  Any graduate of a training program approved by the board who has filed a completed application (including all documents except for examination scores) for licensing shall be recognized, upon receiving a receipt from the director, as a graduate technologist for a period not to exceed ninety (90) days from the date on the application fee receipt.
    1. This receipt shall authorize the applicant to practice that branch of radiologic technology specified on the application until the results of the exam are distributed and acted upon by the board, but in no case shall the authorized period exceed ninety (90) days. During this authorized period, the applicant shall identify him or herself only as a “graduate technologist.”
    2. If the applicant fails to take the examination and receive a license, as specified in subsection (a), during this authorized ninety (90) day period or fails to pass the examination, all authorization to practice as a graduate technologist shall immediately become null and void.
    3. Authorization to practice as a graduate technologist shall only be granted by the board to an individual for a single period not to exceed ninety (90) days, and shall not be extended or renewed.

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2.

5-68.1-7. Licensing by endorsement.

Any individual desiring to become a licensed radiologic technologist by endorsement shall make application to the board on a written form and in a manner that the board prescribes and shall pay all the required application fees. The applicant shall also furnish evidence to the board that he or she holds a current certificate, license, or registration to practice radiologic technology in another state, and the requirements for such certificate, license, or registration, as determined by the board, are substantially equivalent to those established under this chapter, and rules and regulations promulgated pursuant to this chapter.

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2.

5-68.1-8. Other licensing provisions.

  1. Each radiologic technologist license issued by the director shall only specify one category of radiologic technology. An individual qualified to practice more than one category of radiologic technology shall submit a separate application for each category to be licensed. Each radiologic technologist license issued by the director shall indicate, as appropriate, that the individual is a licensed radiographer, a licensed nuclear medicine technologist, a licensed radiation therapist, or other category of radiologic technology license established by the director pursuant to § 5-68.1-5(b) .
  2. Unless licensed as a radiologic technologist pursuant to this chapter, no individual shall use any title or abbreviation to indicate that the individual is a licensed radiologic technologist.
    1. An individual holding a license as a radiographer may use the title “Licensed Radiologic Technologist-Radiographer” or the letters “LRT-R” after his or her name.
    2. An individual holding a license as a radiation therapy technologist may use the title “Licensed Radiologic Technologist-Therapy” or the letters “LRT-T” after his or her name.
    3. An individual holding a license as a nuclear medicine technologist may use the title “Licensed Radiologic Technologist-Nuclear Medicine” or the letters “LRT-N” after his or her name.
    4. [Deleted by P.L. 2015, ch. 141, art. 20, § 12].
  3. A valid license issued pursuant to this chapter shall be carried on the person of the radiologic technologist while performing the duties for which the license is required.
  4. Licenses, with the exception of initial licenses, shall be issued for a period of two (2) years.
  5. The director shall promulgate rules and regulations that specify a renewal date for all licenses issued pursuant to this chapter.
  6. The director shall promulgate rules and regulations that specify the minimum continuing education credits required for renewal of a radiologic technologist license. Failure to attest to completion of the minimum continuing education credits shall constitute grounds for revocation, suspension, or refusal to renew the license.

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2; P.L. 2015, ch. 141, art. 20, § 12.

5-68.1-9. [Repealed.]

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2; Repealed by P.L. 2015, ch. 141, § 13, effective June 30, 2015.

Compiler’s Notes.

Former § 5-68.1-9 concerned special requirements pertaining to licensure of radiologist assistants.

5-68.1-10. Fees.

  1. The director, in consultation with the board, shall establish an initial application fee as set forth in § 23-1-54 and a license renewal fee that shall be prescribed in rules and regulations promulgated pursuant to § 5-68.1-15 .
  2. The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited in the general fund as general revenues.

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2; P.L. 2012, ch. 241, art. 9, § 26.

5-68.1-11. Denial, suspension, revocation, and reinstatement of licenses.

  1. The board may recommend refusal, suspension, or revocation of any license, in accordance with the provisions of chapter 35 of title 42, for any of the following causes:
    1. Having a certificate, license, or registration to practice radiologic technology revoked, suspended, or otherwise acted against, including being denied certification by a national organization, by a specialty board recognized by the director, or by a certification authority of another state, territory, or country;
    2. Fraud in the procurement of any license under this chapter, including, but not limited to, impersonating or acting as proxy for an applicant in an examination for licensure in the field of radiologic technology;
    3. Being convicted or found guilty, regardless of adjudication, in any jurisdiction of a crime that directly relates to the practice of radiologic technology or to the ability to practice radiologic technology. Pleading nolo contendere shall be considered a conviction for the purpose of this provision;
    4. Incompetence or engaging in negligent or unprofessional conduct, which includes, but is not limited to, any departure from, or the failure to conform to, the standards of practice of radiologic technology as established by the director, in which case actual injury need not be established;
    5. Being unable to practice radiologic technology with reasonable skill and safety to patients by reason of illness or use of alcohol, drugs, narcotics, chemicals, or other materials or as a result of any mental or physical condition. A licensee affected under this paragraph shall, at reasonable intervals, be afforded an opportunity to demonstrate that he or she can resume the competent practice of radiologic technology with reasonable skill and safety;
    6. Making or filing a false report or record that the licensee knows to be false; intentionally or negligently failing to file a report or record required by state or federal law; or willfully impeding or obstructing such filing or inducing another to so. Such reports or records include only those reports or records that are signed in the capacity of the licensee;
    7. Violating, or aiding or abetting any person to violate, any provision of this chapter, any rule or regulation promulgated pursuant to this chapter, or any lawful order of the director previously entered in a disciplinary proceeding or failing to comply with a lawfully issued subpoena of the director.
  2. Five (5) years from the date of revocation of a license under this chapter, application may be made for reinstatement, restoration, or modification of probation. The board has the discretion to accept or reject any application for the reinstatement.

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2.

5-68.1-12. Grounds for discipline without hearing.

The director may temporarily suspend the license of a radiologic technologist without a hearing if the director finds that evidence in his or her possession indicates that a radiologic technologist’s continuation in practice would constitute an immediate danger to the public. In the event that the director temporarily suspends the license of a radiologic technologist without a hearing, a hearing by the board must be held within ten (10) days after the suspension has occurred.

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2.

5-68.1-13. Appeals from board or director.

An appeal from any decision or order of the board or director may be taken in accordance with the provisions of chapter 35 of title 42.

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2.

5-68.1-14. Penalties.

A violation of any provision of this chapter shall be punishable by a civil fine of not less than three hundred dollars ($300) for the first offense. Each subsequent offense shall be punishable by a fine of not less than five hundred dollars ($500).

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2.

5-68.1-15. Rules and regulations.

The director is authorized to promulgate rules and regulations as are in accord with the purposes of this chapter, and in accordance with the provisions of chapter 35 of title 42.

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2.

5-68.1-16. Severability.

If any provision of this chapter, or of any rule or regulation made under this chapter, or the application of this chapter to any person or circumstances is held invalid by a court of competent jurisdiction, the remainder of the chapter, rule, or regulation, and the application of this provision to other persons or circumstances, shall not be affected.

History of Section. P.L. 2010, ch. 137, § 2; P.L. 2010, ch. 139, § 2.

Chapter 69 License Procedure for Chemical Dependency Professionals

5-69-1. Short title.

This chapter shall be known and may be cited as the “Rhode Island Chemical Dependency Professional Act.”

History of Section. P.L. 1994, ch. 117, § 1.

5-69-2. Definitions.

As used in this chapter:

  1. “ACDP” means an advanced chemical dependency professional certification as per the Rhode Island board for certification of chemical dependency professionals requirements.
  2. “ACDP II” means an advanced chemical dependency professional II certification as per the International Certification and Reciprocity Consortium/Alcohol and Other Drug Abuse. “ICRC/AODA.”
  3. “Acudetox specialist (ADS)” means an individual licensed as a chemical dependency professional or clinical supervisor who holds a certificate of training that meets or exceeds the NADA training from a recognized agency.
  4. “Advertise” includes, but is not limited to, the issuing of, or causing to be distributed, any card, sign, or device to any person; or the causing, permitting, or allowing of any sign or marking on, or in, any building or structure, or in any newspaper or magazine or in any directory, or on radio or television, or by the use of any other means designed to secure public attention.
  5. “Approved continuing education” means research and training programs, college and university courses, in-service training programs, seminars, and conferences designed to maintain and enhance the skills of substance-abuse counselors or clinical supervisors and that are recognized by the ICRC/AODA member board.
  6. “Auricular acudetox” means the subcutaneous insertion of sterile, disposable acupuncture needles in consistent, predetermined bilateral locations on the ear in accordance with the NADA protocol.
  7. “CDCS” means chemical dependency clinical supervisor.
  8. “Clergy” includes any minister, priest, rabbi, Christian Science practitioner, or any other similar religious counselor.
  9. “Continuum of care network” means public and private substance-abuse care agencies such as detoxification centers, emergency rooms, hospitals, treatment centers, outpatient- and day-treatment clinics, and community residences for substance abusers. The services employ, or refer to, medical, psychological, health, and counseling professionals who treat substance abuse and related concerns.
  10. “Department” means the Rhode Island department of health.
  11. “Director” means the director of the Rhode Island department of health.
  12. “Documented professional work experience” means the ICRC/AODA member board-approved form, completed by an employer or approved supervisor, verifying dates of employment and responsibilities.
  13. “Experience” means six thousand (6,000) hours of supervised practice of chemical dependency counseling in a department of behavioral healthcare, developmental disabilities and hospitals licensed or ICRC/AODA member-board-approved facility during a sixty-month (60) period of time immediately preceding the date of application for licensure.
  14. “General supervision” means available by telephone, cellphone, or electronic means during business hours.
  15. “ICRC/AODA” means International Certification and Reciprocity Consortium/Alcohol and Other Drug Abuse.
  16. “Licensed chemical dependency clinical supervisor” means an individual licensed by the department of health to practice and supervise substance-abuse counseling and who meets the qualifications established in this chapter.
  17. “Licensed chemical dependency professional” means an individual licensed by the department of health to practice substance-abuse counseling and who meets the qualifications established in this chapter.
  18. “Licensing board” or “board” means the board of licensing for chemical dependency professionals.
  19. “Member board” means the Rhode Island board for certification of chemical dependency professionals.
  20. “National Acupuncture Detoxification Association” (“NADA”) means a not-for-profit organization that provides a certificate of acudetox training.
  21. “Practice of substance-abuse counseling” means rendering, or offering to render, professional service for any fee, monetary or otherwise, documented to individuals, families, or groups. Those professional services include the application of the ICRC/AODA, specific knowledge, skills, counseling theory, and application of techniques to define goals and develop a treatment plan of action aimed toward the prevention, education, or treatment in the recovery process of substance abuse within the continuum-of-care service network. The practice further includes, but is not limited to, networking and making referrals to medical, social services, psychological, psychiatric, and/or legal resources when indicated.
  22. “Recognized education institution” means any educational institution that grants an associate, bachelor, masters, or doctoral degree and that is recognized by the board or by a nationally or regionally recognized educational or professional accrediting organization.
  23. “Substance abuse” means addictive (chronic or habitual) consumption, injection, inhalation, or behavior of/with a substance (such as alcohol and drugs), progressively injuring and afflicting the user’s psychological, physical, social, economic, and/or spiritual functioning.
  24. “Supervision” means no less than one hour per week and consists of individual or group supervision with a clinician licensed or certified in substance-abuse counseling with education, supervisory experience, and ethics approved by the ICRC/AODA member.

History of Section. P.L. 1994, ch. 117, § 1; P.L. 1995, ch. 370, art. 14, § 13; P.L. 2008, ch. 100, art. 11, § 1; P.L. 2016, ch. 183, § 1; P.L. 2016, ch. 187, § 1; P.L. 2017, ch. 451, § 3.

5-69-3. Title and practice regulation.

  1. Any individual licensed under this chapter may use the title “licensed chemical dependency professional” and the abbreviation “LCDP” or the title “licensed chemical dependency clinical supervisor” and the abbreviation “LCDCS” provided that the title and abbreviation shall correspond to the license held pursuant to this chapter.
  2. No individual shall represent herself or himself as a “licensed chemical dependency professional,” “LCDP,” “licensed chemical dependency clinical supervisor,” “LCDCS” unless he or she is licensed as a “licensed chemical dependency professional” or “licensed chemical dependency clinical supervisor” pursuant to this chapter and provided that the title and abbreviation shall correspond to the license held pursuant to this chapter.
  3. Those presently holding the title “advanced chemical dependency professional,” “advanced chemical dependency professional II,” and/or “licensed chemical dependency clinical supervisor” shall qualify for licensure as a “licensed chemical dependency professional” and/or “licensed chemical dependency clinical supervisor.” These applications must be received within ninety (90) days of the effective date of this chapter. The regular licensing fee of fifty dollars ($50.00) shall apply.

History of Section. P.L. 1994, ch. 117, § 1; P.L. 1995, ch. 370, art. 14, § 13; P.L. 2008, ch. 100, art. 11, § 1.

5-69-3.1. Auricular acudetox practice regulation.

  1. Any individual licensed under this chapter and trained to perform auricular acudetox may perform the procedure within that individual’s current scope of practice; provided that the individual obtains a certificate of training from a recognized organization or agency that meets or exceeds NADA training and is under the general supervision of a licensed acupuncturist pursuant to chapter 37.2 of this title.
  2. Acudetox may be performed by acudetox specialists working in, or in collaboration with, behavioral health and healthcare agencies, or other state-approved programs or agencies.
  3. Any individual performing auricular acudetox shall not use the title “acupuncturist,” as defined in chapter 37.2 of this title, or otherwise represent themselves as an acupuncture professional and shall not perform acupuncture outside of the scope of the auricular acudetox procedure as defined in § 5-69-2 .
  4. Any complaints filed against an ADS specialist relating to the performance of any auricular acudetox procedure shall be handled by the licensing board in conformance with the disciplinary procedure set forth in this chapter.

History of Section. P.L. 2016, ch. 183, § 2; P.L. 2016, ch. 187, § 2.

5-69-4. Licensed chemical dependency professional/licensed chemical dependency supervisor privilege exemptions.

  1. No licensee under this chapter or an employee of a licensee may disclose any information acquired from clients or persons consulting with the licensee to render professional services except under provisions of the federal regulation 42 C.F.R. part 2.
  2. The provisions of this chapter do not apply to the following individuals:
    1. Qualified members of other professions or occupations engaging in practices similar in nature to chemical dependency counseling; provided, that they are authorized by the laws of this state to engage in these practices and do not represent themselves as a “licensed chemical dependency professional” or “licensed chemical dependency clinical supervisor”;
    2. Students/counselors engaged in entry-level internships in a department of behavioral healthcare, developmental disabilities and hospitals licensed or an ICRC/AODA member board-approved facility; provided, that the students/counselors are practicing as part of supervised work or course of study and designated by such titles as “counselor intern,” “counselor,” or “chemical dependency professional student” or other titles clearly indicating training status;
    3. Nothing in this section shall be construed to prevent members of the clergy, peer groups, or self-help groups from performing peer counseling or self-help activities that may be, wholly or in part, included as a defined professional service as cited in § 5-69-2 ; provided, that no members of peer groups or self-help groups may use a title stating or implying that they are a licensed chemical dependency professional or a licensed chemical dependency clinical supervisor unless licensed under the provisions of this chapter.

History of Section. P.L. 1994, ch. 117, § 1; P.L. 1995, ch. 370, art. 14, § 13; P.L. 2008, ch. 100, art. 11, § 1.

5-69-5. Agency powers.

The department shall promulgate rules and regulations that are reasonably necessary for the administration of this chapter and to further its purposes. The department shall, on recommendation of the licensing board, issue licenses to those qualified under this chapter. The director of the department of health may issue additional levels of licensing that may be developed, approved, or adopted by both the licensing board and the ICRC/AODA member board.

History of Section. P.L. 1994, ch. 117, § 1; P.L. 1995, ch. 370, art. 14, § 13; P.L. 2008, ch. 100, art. 11, § 1.

5-69-6. Licensing board.

  1. Within the department there shall be established a board of licensing for chemical dependency professionals. The governor shall appoint a licensing board consisting of seven (7) members.
    1. Of the seven (7) licensing board members, three (3) shall be licensed under this chapter.
    2. Licensing board members shall be:
      1. Two (2) members appointed by the governor shall be representatives of groups that reflect demographics of person(s) served;
      2. Three (3) members shall represent the licensed professionals appointed by the director of health;
      3. One member shall be an active member or administrator of the Rhode Island board for certification of chemical dependency professionals appointed by the director of health;
      4. One member shall be a consumer advocate from an established substance abuse recovery consumer advocacy group appointed by the director of health.
    3. Licensing board members shall serve without compensation.
    4. Each licensing board member shall take and subscribe to the oath of affirmation prescribed by law and shall file this oath in the office of the secretary of state.
    5. The term of office shall be three (3) years, except that of the members of the first licensing board. Three (3) shall be appointed for a term of one year, three (3) for a term of two (2) years, three (3) for a term of three (3) years. At least one member representing the general public, and one member representing a minority group, as defined by the federal Department of Health, Education, and Welfare, shall be appointed for the initial term of three (3) full years. Successors to these licensing board positions shall be appointed for a term of three (3) years each, except that any person appointed to fill a vacancy shall be for the unexpired term of office. Upon expiration of the term of office, a member shall continue to serve until a successor is appointed and qualified. No person shall be appointed for more than two (2) consecutive three-year (3) terms.
    6. The governor may remove any member of the licensing board for neglect of duty; malfeasance; conviction of a felony while in office; or for lack of attendance/participation in board meetings. No licensing board member shall participate in any matter before the licensing board in which pecuniary interest, personal bias, or other similar conflicts of interests is established.

History of Section. P.L. 1994, ch. 117, § 1; P.L. 1995, ch. 370, art. 14, § 13; P.L. 2008, ch. 100, art. 11, § 1; P.L. 2021, ch. 400, § 20, effective July 13, 2021; P.L. 2021, ch. 401, § 20, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 20, and P.L. 2021, ch. 401, § 20 enacted identical amendments to this section.

5-69-7. Powers and duties of the licensing board.

  1. The organization, meeting, and management of the licensing board shall be established by regulations promulgated by the department of health.
  2. In addition to duties set forth in this chapter, the licensing board shall:
    1. Examine and pass on the qualifications of all applicants identified by the ICRC/AODA member board that all standards have been successfully completed for licensure under this chapter, and recommend to the director that a license shall be issued to each qualified, successful applicant, attesting to the applicant’s professional qualification to practice as a “licensed chemical dependency professional” or a “licensed chemical dependency clinical supervisor”;
    2. Recommend that the director adopt rules and regulations that set ICRC/AODA professional practice standards for licensed chemical dependency professionals and licensed chemical dependency clinical supervisors;
    3. Recommend modifications or amendments deemed necessary to effectuate its purpose;
    4. Be responsible for making recommendations to the director concerning all disciplinary functions carried out regarding all licenses under this chapter;
    5. Have any other powers required to carry out the provisions of this chapter.

History of Section. P.L. 1994, ch. 117, § 1; P.L. 1995, ch. 370, art. 14, § 13; P.L. 2008, ch. 100, art. 11, § 1.

5-69-8. Licenses.

  1. The department shall issue the appropriate license to applicants who meet the qualifications for the license as specified:
    1. “Licensed chemical dependency professional.”  Any individual desiring to obtain a license as a licensed chemical dependency professional shall be currently certified as an advanced chemical dependency professional or advanced chemical dependency professional II in accord with the ICRC/AODA member board standards, as a prerequisite for submitting the application to the licensing board.
    2. “Licensed chemical dependency clinical supervisor.”  Any individual desiring to obtain a license as a licensed chemical dependency clinical supervisor shall be currently certified as an advanced chemical dependency professional or advanced chemical dependency professional II, shall have completed the ICRC/AODA member board standards for chemical dependency clinical supervisor, and shall submit an application to the licensing board.
    3. Other.  An applicant having a comparable license, certification, or reciprocity within Rhode Island or from another state or territory of the United States that imposes qualifications substantially similar to those of this chapter, as determined by the licensing board.
  2. In addition to the qualifications listed in this section, an applicant for any of these titles must prove to the licensing board’s satisfaction:
    1. Good moral character which is a continuing requirement for licensure;
    2. United States citizenship or status as a legal resident alien;
    3. Absence of a sanction from the National Association of Alcohol and Drug Abuse Counselors, or ICRC/AODA member board sanction for violation of the code of ethics, or other related state board, which shall be waived by the board upon presentation of satisfactory evidence that the sanction does not impair the ability of the person to conduct with safety to the public the practice authorized by this license. The applicant shall bear the burden of proving that his or her sanction does not impair his or her ability to conduct with safety to the public the practice authorized by this license;
    4. Absence of conviction of a felony, which shall be waived by the board upon presentation of satisfactory evidence that the conviction does not impair the ability of the person to conduct with safety to the public the practice authorized by this license. The applicant shall bear the burden of proving that his or her conviction does not impair his or her ability to conduct with safety to the public the practice authorized by this license;
    5. That the applicant has not been declared mentally incompetent by any court, and if the decree has ever been rendered, that there has been a subsequent court determination that the applicant is competent; and
    6. Freedom from use of any controlled substance or any alcoholic beverages to the extent that the use impairs the ability of the person to conduct with safety to the public the practice authorized by this license. The applicant shall bear the burden of proving that he or she is free from use of any controlled substance or any alcoholic beverages that impair his or her ability to conduct with safety to the public the practice authorized by this license.

History of Section. P.L. 1994, ch. 117, § 1; P.L. 2008, ch. 100, art. 11, § 1.

5-69-9. Fees and renewal.

The nonrefundable application fee for licensure shall be as set forth in § 23-1-54 . Licenses shall be renewed every two (2) years on October first of even-numbered years upon payment of a fee as set forth in § 23-1-54 ; compliance with ICRC/AODA member board requirements; and compliance with any additional requirements that the licensing board may promulgate. The requirements may include the establishment of standards for continuing education.

History of Section. P.L. 1994, ch. 117, § 1; P.L. 1995, ch. 370, art. 14, § 13; P.L. 2008, ch. 100, art. 11, § 1; P.L. 2012, ch. 241, art. 9, § 27.

5-69-10. Licensed professionals discipline.

Licensees subject to this chapter shall conduct their activities, services, and practice in accordance with this chapter and with any rules promulgated pursuant to this chapter. The licensing board may recommend to the director refusal to grant a license to, or to suspend, revoke, condition, limit, qualify, or restrict the license of any individual who the licensing board or its designee, after a hearing, determines:

  1. Is incompetent to practice under the provisions of this chapter, or is found to engage in the practice of chemical dependency counseling and/or supervision in a manner harmful or dangerous to a client or to the public;
  2. Has obtained or attempted to obtain a license, or renewal, by bribery or fraudulent representation;
  3. Has knowingly made a false statement on a form required by the licensing board;
  4. Has failed to obtain the continuing education credits necessary for re-licensing;
  5. Has engaged in sexual relations with a current client, solicited sexual relations with a current client, or committed an act of sexual abuse or sexual misconduct with a current client;
  6. Has failed to remain free from the use of any controlled substance or any alcoholic beverages to the extent that the use impairs the ability of the person to conduct with safety to the public the practice authorized by this license. The applicant shall bear the burden of proving that he or she is free from use of any controlled substance or any alcoholic beverages that impair his or her ability to conduct with safety to the public the practice authorized by this license;
  7. Has been convicted of a felony, which shall be waived by the board upon presentation of satisfactory evidence that the conviction does not impair the ability of the person to conduct with safety to the public the practice authorized by this license. The applicant shall bear the burden of proving that his or her conviction does not impair his or her ability to conduct with safety to the public the practice authorized by this license;
  8. Has disciplinary action pending or has revocation, suspension, or probation taken against the licensee in Rhode Island or another state or territory of these United States;
  9. Has failed to maintain confidentiality per federal regulation 42 C.F.R. part 2;
  10. Has engaged in false or misleading advertising;
  11. Has a mental disability that significantly impairs the ability or judgment (the order of a court that the licensee is in need of mental treatment for incompetency shall continue the mental disability); and
  12. Has violated any of the provisions of this chapter, or the provisions of any code of ethics adopted by the licensing board.

History of Section. P.L. 1994, ch. 117, § 1; P.L. 1995, ch. 370, art. 14, § 13.

5-69-11. Complaints.

All complaints concerning a licensee’s business or professional practice shall be received by either the licensing board or the department of health. Each complaint received shall be logged, recording at a minimum the following information:

  1. Licensee’s name;
  2. Name of the complaining party;
  3. Date of complaint;
  4. Brief statement of complaint; and
  5. Disposition.

History of Section. P.L. 1994, ch. 117, § 1; P.L. 1995, ch. 370, art. 14, § 13; P.L. 2008, ch. 100, art. 11, § 1.

5-69-12. Disciplinary process.

  1. Disciplinary procedures under this chapter shall be conducted in accordance with the administrative procedures act, chapter 35 of title 42.
  2. The licensing board or its designee shall hear evidence produced in support of the formal charges and contrary evidence produced by the licensee. At the conclusion of the hearing, the licensing board shall make recommendations to the director who shall issue an order.

History of Section. P.L. 1994, ch. 117, § 1.

5-69-13. Disciplinary sanctions.

  1. The licensing board may recommend that the director impose any of the following sanctions, singly or in combination, when it finds that a licensee is guilty of any offenses described in this section:
    1. Revocation of the license;
    2. Suspension of the license for any period of time;
    3. Censure of the licensee;
    4. Issuance of a letter of reprimand;
    5. Placement of a licensee on probationary status and requirement that the licensee submit to any of the following:
      1. Regular reporting to the licensing board upon matters that are the basis of probation;
      2. Continual renewal of professional education until a satisfactory degree of skill has been attained in those areas that are the basis of probation;
      3. Attendance at employee-assistance counseling services;
    6. Refusal to renew a license;
    7. Revocation of probation that was granted and imposition of any other discipline provided in this section when the requirements of probation are not fulfilled or have been violated.
  2. The director may reinstate any licensee to good standing under this chapter if, after a hearing, the department of health is satisfied that the applicant’s renewed practice is in the public interest.
  3. Upon the suspension or revocation of a license issued under this chapter, a licensee shall be required to surrender the license to the director and upon failure to do so, the director shall have the right to seize the license.
  4. The director may make available annually a list of the names and addresses of all licensees under the provisions of this chapter, and of all persons who have been disciplined within the preceding twelve (12) months.
  5. Any persons convicted of violating the provisions of this chapter shall be guilty of a misdemeanor, punishable by a fine of not more than five hundred dollars ($500), imprisonment for not more than one year, or both.

History of Section. P.L. 1994, ch. 117, § 1; P.L. 1995, ch. 370, art. 14, § 13; P.L. 2008, ch. 100, art. 11, § 1; P.L. 2019, ch. 308, art. 1, § 27.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-69-14. Fees collected.

Any fees collected under the provisions of this chapter shall be deposited by the department as general revenues.

History of Section. P.L. 1995, ch. 370, art. 14, § 14; P.L. 2012, ch. 241, art. 9, § 27.

5-69-15. Severability.

The provisions of this chapter are severable and if any of its provisions shall be held unconstitutional by any court of competent jurisdiction, the decision of that court shall not affect or impair any of the remaining provisions.

History of Section. P.L. 1994, ch. 117, § 1; G.L. 1956, § 5-69-14 ; P.L. 1995, ch. 370, art. 14, § 13.

Chapter 70 Telecommunications

5-70-1. Declaration of purpose.

In order to protect the public interest and property, assure compliance with standards of technical competency, and promote safe practices in the act of designing, installing, servicing, and testing of telecommunications systems in this state, telecommunications are declared to be subject to regulation in the public interest.

History of Section. P.L. 1994, ch. 346, § 1.

5-70-2. Practices prohibited.

It shall be unlawful for any person not in compliance with this chapter to engage in, or to offer to design, install, alter, service, or test telecommunications systems in this state, as defined in the provisions of this chapter.

History of Section. P.L. 1994, ch. 346, § 1.

5-70-3. Definitions.

As used in this chapter:

  1. “Design” means the act of creating a document, either manually or electronically, that defines the layout, placement, and/or configuration of telecommunication devices, infrastructure components, and/or physical topology(s); trunking or distribution routing(s) and/or their material components; telecommunication outlet locations and/or their material components; telecommunication closet locations and/or their material components for the purpose of defining telecommunication work licensed within this chapter. This definition does not include the recording of changes to a design document that reflect field changes made during installation of the telecommunication system detailed in the design document.
  2. “Residential dwelling” means a dwelling with one or more rooms for the use of one or more persons as a housekeeping unit with space for eating, living, and sleeping, and permanent provisions for sanitation.
  3. “Telecommunication device” means an analog or digital electronic device that processes data, telephony, video, or sound transmission as part of a telecommunications system.
  4. “Telecommunications systems” means any system involved in the sending and/or receiving at a distance of voice, sound, data, and/or video transmissions.
  5. “Telecommunications systems contractors” means a corporation, firm, or person who or that, by the employment of licensed telecommunications installers and technicians, performs the work of telecommunications systems in accordance with the provisions of this chapter.
  6. “Telecommunications systems limited installer” means a person who, by reason of his or her knowledge of general principles and fundamentals of telecommunications systems installation, including relevant codes and regulations, is qualified to engage in the installation of telecommunications system equipment as attested to by his or her licensing as a telecommunications system limited installer in this state.
  7. “Telecommunications systems technician” means a person who, by reason of his or her knowledge of the mathematical and physical sciences, and the principles, functions, and fundamentals of one or more of the categories of telecommunications systems defined under provisions of this chapter acquired by professional education and/or practical experience, shall be qualified to engage in telecommunications work as attested by his or her licensing as a telecommunications system technician in this state.
  8. The category “data communications” means use or operation of apparatus for transmission of digitized information between distant points with or without connecting wires.
  9. The category “sound” means use or operation of apparatus for transmission of sounds and especially music and/or speech between distant points with or without connecting wires for broadcast or disbursement over a defined area.
  10. The category “telephony” means use or operation of apparatus for transmission of sounds and especially speech between distant points with or without connecting wires.
  11. The category “video communications” means use or operation of apparatus for transmission of image(s) between distant points reproduced through electrical or other means with or without connecting wires.

History of Section. P.L. 1994, ch. 346, § 1; P.L. 1999, ch. 443, § 1.

5-70-4. Licensing authority.

  1. There is established a board of examination and licensing of telecommunications systems contractors, technicians, and installers that shall be composed of seven (7) members. Five (5) members of the board shall be telecommunications systems professionals who shall be qualified for licensing under the provisions of this chapter. One of these members shall also hold, at the time of appointment, an electrical contractor license, certificate A, issued by this state. Each of the four (4) categories shall be represented by a minimum of one licensed professional within that category. Each telecommunications professional member of the board shall be actively engaged in either/or the design, installation, alteration, service, and testing of telecommunications systems, as defined by this chapter, for ten (10) consecutive years immediately prior to appointment. One member of the board shall be, at the time of appointment, an electrical inspector serving a city or town in this state. One member of the board shall be, at the time of appointment, a designated representative of the state building code commission who is knowledgeable in codes and regulations involving telecommunications. Each member of the board shall be a qualified elector of the state for three (3) consecutive years prior to appointment.
  2. Each member of the board shall be appointed by the governor with the advice and consent of the senate to serve for a term of five (5) years and until his or her successor is appointed and qualified. Not more than one member of the board shall be directly employed with or by any single business, firm, or corporation.
  3. Initial appointments to the board shall be made for one, two (2), three (3), four (4), five (5), six (6), and seven (7) years in order to provide for the expiration of one position each year.
  4. Vacancies occurring in the membership of the board shall be filled by the governor with the advice and consent of the senate for the unexpired portion of the term.
  5. Each member of the board shall take and subscribe to the oath of office required of state officials generally.

History of Section. P.L. 1994, ch. 346, § 1; P.L. 2012, ch. 134, § 1; P.L. 2012, ch. 174, § 1.

5-70-5. Form of license and registration.

Three (3) major forms of license shall be issued with the two (2) higher licenses carrying certification for one or more of the four (4) category(s), as defined within this chapter, for which qualified:

  1. Telecommunications system contractor.
    1. TSC license shall be issued to any person qualified under this chapter representing themselves, individually, or a firm or corporation engaging in, or about to engage in, the business of designing, installing, altering, servicing, and/or testing telecommunications systems.
    2. Qualification shall be evidenced by passing the examination(s) for any or all of the categories of telecommunications systems described in this chapter, and applicants who hold an equivalent out-of-state license, as determined by this board, issued by another state shall be allowed to take the Rhode Island form TSC license examination. Applicants for TSC license who hold no equivalent form of TSC license issued in another state and show evidence of three (3) years of verifiable and continuous contracting experience, immediately preceding the date of application and are registered to conduct business in the state of Rhode Island, will be allowed to take the Rhode Island form of TSC examination. Applicants who do not meet these qualifications shall have been licensed as a Rhode Island telecommunication systems technician for a minimum of three (3) consecutive years, immediately preceding the date of application, in order to qualify to take the TSC examination, and shall have been registered to conduct business in the state of Rhode Island.
    3. The holding of a TSC license shall entitle the holder individually to contract for, engage in, and/or perform the actual work of designing, installing the type(s) of telecommunications systems for which they were granted certification. No individual shall be required to hold more than one form of license.
  2. Telecommunications systems technician.
    1. TST license shall be issued to any person who passes the examination(s) as defined within this chapter for any or all of the categories of telecommunications systems described in this chapter.
    2. The holding of a TST license shall entitle the holder individually to perform the actual work of installing, altering, servicing, and/or testing the type(s) of telecommunications systems for which they were granted certification. All the work performed shall be under the supervision of the holder of a TSC license.
  3. Telecommunications system limited installer.
    1. TSLI license shall be issued to any person who passes the examination as defined within this chapter and as described in this section.
    2. The holding of a TSLI license shall entitle the holder to perform the actual work of installation of wiring, low-voltage surface raceway, enclosures, and wiring devices directly associated with a telecommunications system. Connection to, installation of, or servicing of telecommunications devices shall only be performed under the direct supervision of a holder of a TST or TSC license.
  4. Trainee/telecommunications apprentice.
    1. Registered trainees/telecommunications apprentices may be employed to perform the actual work of installation of wiring, low-voltage surface raceway, enclosures, and wiring devices directly associated with a telecommunications system under the direct supervision of a holder of a TST or TSC license.
    2. Trainees/telecommunication apprentices shall be required to register with the licensing authority subsequent to employment by a person, firm, or corporation licensed as a TSC under this chapter; and prior to being permitted to perform any actual installation work.
    3. The registered trainee/telecommunication apprentice shall not be permitted to make connection to, install, or service telecommunications devices. No more than two (2) registered trainees/telecommunication apprentices can be directly supervised by a single TSC or TST license holder.

History of Section. P.L. 1994, ch. 346, § 1; P.L. 1999, ch. 443, § 1.

5-70-6. Unauthorized practice prohibited — Criminal penalties — Injunctions.

  1. Except as provided in this chapter, no individual, firm, or corporation shall provide, or offer to provide, telecommunications services in this state or use any title, sign, card, or device implying that the individual, firm, or corporation is qualified to provide telecommunications services unless that individual, firm, or corporation is the beneficial holder of a currently valid license issued pursuant to this chapter.
  2. Any individual, partnership, or corporation that is found to have violated subsection (a), after notice and a hearing before the board of examination and licensing of telecommunications systems contractors, technicians, and installers, and approved by the director of labor and training, shall be obligated to pay a fine of not more than five hundred dollars ($500) for the first offense, and a fine of not less than five hundred dollars ($500) nor more than one thousand dollars ($1,000) for each subsequent offense.
  3. The director of labor and training has the power to institute injunction proceedings in superior court to prevent violations of subsection (a).

History of Section. P.L. 1994, ch. 346, § 1; P.L. 1997, ch. 340, § 1; P.L. 1999, ch. 175, § 1.

5-70-7. Persons and work exempt.

The provisions of this chapter shall not apply to:

  1. The work and equipment employed in connection with the operation of signals, or the transmission of intelligence, and performed by an employee of a municipality or public utility where that work and equipment is an integral part of the communication system owned and operated by a municipality or by a public utility company; or in rendering that work that is subject to regulation under the authority of the public utility commission or the Federal Communications Commission. Work and equipment are integral parts of a communication system if the work and equipment are used to transmit telephone calls or messages in those communication systems.
  2. The work and equipment employed in connection with any community antenna television system (CATV) subject to regulation under title 39 by the division of public utilities; or any subcontractor of the CATV system while performing the work, whether or not the work is deemed regulated or nonregulated by a state or federal code, statute, regulation, or decision of any regulatory authority or board.
  3. The work and equipment employed in connection with any public or private radio or television station and/or service and their authorized agents that have in their employ a person holding a valid federal commercial class license granted by the Federal Communications Commission.
  4. The work and equipment employed in connection with the installation and/or servicing of data processing systems or personal computers that are provided by a data processing firm or corporation. This exemption does not extend to include work pursuant to this chapter.
  5. This chapter shall not forbid the installation of telecommunications systems in a single family residential building or on the immediate premises of the building by the owner if the owner is living on, or about to live on, the premises.
  6. This chapter shall exempt and has no application to any holder of an electrical contractor’s license, certificate A, or the holder of a journeyperson electrician’s license, certificate B, issued by the Rhode Island department of labor and training, division of professional regulation, and an electrician apprentice registered by the department of labor and training working under the direct supervision of a holder of a journeyperson electrician’s license, Class B. Work performed pursuant to this chapter shall be designed in accordance with the provisions of this chapter or a manufacturer’s design and specification installation instruction.
  7. This chapter shall not forbid any person who now holds a license issued by the state in the performance of his or her normal duties; nor shall it forbid any person who now holds a license to operate a moving picture machine in the performance of his or her normal duties; provided, that the person holds a valid license that was granted by a town or city council in the state or by an official, board, or agency endowed with authority to issue that license. This exemption does not apply to work performed that is not directly related to the performance of the duties of the license holder that are regulated under the valid license.
    1. Any firm, corporation, or other form of legal entity that employs permanent staff to design, configure, install, or service telecommunications system(s) within its own organization, affiliates, members, or network. The organization shall be referred to as a “self-provider” for purposes of this chapter.
    2. The staff employed by the self-provider shall not be required to be licensed under this chapter while performing work in supporting the telecommunications system(s) within its organization, affiliates, members, or network.
    3. However, should the self-provider contract any services provided by the subject telecommunications system(s), those individuals performing the work associated with the services shall not be exempt from this chapter and must hold the appropriate license under this chapter.
  8. This chapter shall not forbid the work of any person who holds a registration as a professional engineer in this state in the performance of his or her normal duties; provided, that the work shall be stamped and signed in accordance with the rules and regulations of the board of registration for professional engineers.
  9. The telecommunications work and equipment in mines, ships, railway rolling stock, or automotive equipment.
  10. The work and equipment employed in connection with kindergarten through grade 12 schools or public libraries utilizing volunteers under the direct supervision of a Rhode Island-licensed telecommunications system contractor (TSC), with no more than two (2) volunteers being directly supervised by a telecommunications system contractor (TSC).
  11. The work and equipment employed in connection with any telephone company with fifty thousand (50,000) or more access lines subject to regulation by the public utilities commission and/or the division of public utilities, whether or not the work is deemed regulated or nonregulated by a state or federal code, statute, regulation, or decision of any regulatory authority or board.

History of Section. P.L. 1994, ch. 346, § 1; P.L. 1999, ch. 443, § 1; P.L. 2002, ch. 137, § 1; P.L. 2003, ch. 298, § 1; P.L. 2003, ch. 347, § 1.

5-70-8. Rules and regulations — Powers of the board.

  1. The board shall issue certificates through the department of labor and training, division of professional regulation, in an advisory capacity to the director of labor and training, to individuals who have qualified to engage in telecommunication work under the provisions of this chapter. The board may, in an advisory capacity to the director of labor and training, establish any rules and regulations for the issuance and renewal of certificates that it deems appropriate.
  2. The director of labor and training shall have the power to suspend, revoke, or annul certificates or licenses or impose a fine upon the certificate or license holder, for all certificates and licenses issued by the division of professional regulation, after hearing before and upon the recommendation of the board of examination and licensing of telecommunications system contractors, technicians, and installers, in accordance with the provisions of this chapter. In all disciplinary proceedings brought pursuant to this chapter, the director or his or her designee has the power to administer oaths, to summon witnesses, and to compel the production of documents in accordance with the procedures applicable in the superior court. Upon failure of any person to appear or produce documents in accordance with the director of labor and training’s order, the director of labor and training may apply to a court of any jurisdiction to enforce compliance. Members of the board shall be subject to the provisions of chapter 14 of title 36.
  3. The director of labor and training, upon recommendation of the board, shall have the power to establish the subcategory(ies) within the mentioned licensing forms and categories that may be determined to be required to accommodate significant or substantive changes and/or improvements in current technologies or to accommodate new developments in technologies affecting telecommunications. The subcategory(ies) shall be specifically limited in purpose and scope.

History of Section. P.L. 1994, ch. 346, § 1; P.L. 1999, ch. 175, § 1.

5-70-9. Transition period.

No person shall be liable for prosecution for installing, altering, servicing, and/or testing telecommunications systems for which a license is required under this chapter without a license for the six-month (6) period following enactment of this chapter.

History of Section. P.L. 1994, ch. 346, § 1.

5-70-10. Application.

    1. Applications for licenses required by the provisions of this chapter shall be filed with the licensing authority through the department of labor and training, division of professional regulation, on a form provided by the licensing authority.
    2. If the applicant is an individual the application shall be subscribed and sworn to by the individual. If the applicant is a firm, partnership, or corporation, the application shall be subscribed and sworn to by an owner in the case of a firm, and by at least one general partner in the case of a partnership, and by a corporate officer in the case of a corporation.
    3. If the applicant is an individual and does not reside, operate any business, or is not employed within the state; or if in the event the applicant is a firm, partnership, or corporation and no owner or general partner or corporate officer resides or is employed within the state, then the application must also be subscribed and sworn to by an individual having the authority and the responsibility for the management and operations of the business within the state.
  1. If the applicant is a corporation, the application shall specify the date and place of its incorporation; the location of the applicant’s principal place of business; a list of the principal officers of the corporation; owners of twenty-five percent (25%) or more of outstanding stock of all classes of the corporation; and the business address, residence address, and the office or position held by each officer in the corporation.
  2. The application shall include the following information for each individual required to subscribe and swear to it:
    1. The individual’s full name and address (business and residence);
    2. The individual’s business and residence telephone number;
    3. The individual’s date and place of birth;
    4. A head-and-shoulders photograph (passport type) taken within three (3) months prior to the date of the submission of the application;
    5. The name and address of the individual’s relevant past and present employment; name, address, and telephone number of supervisor; and the length of time engaged in the employment; and
    6. Evidence of experience as required by subsection (g).
  3. Applications for TSC license shall include the following information concerning the applicant:
    1. The name, address, and telephone number of the business;
    2. A sworn statement as to the length of time that the applicant has been engaged in the telecommunications business; and
    3. Evidence of experience as required by subsection (g).
  4. The licensing authority may require that the application include any other information that the licensing authority may reasonably deem necessary to determine whether the applicant or individual signing the application meets the requirements of this chapter or to establish the truth of the facts set forth in the application.
  5. Any individual signing a license application must be at least eighteen (18) years of age.
  6. Applicants may submit as evidence of experience the following:
    1. Completed forms, as approved by the licensing authority with employment verified by the qualified employer, and signed under any of the penalties set forth for making false statements as evidence of experience;
    2. A valid license issued under the conditions of this chapter by the licensing authority;
    3. Documentary evidence of experience while serving with the armed forces of the United States indicating formal training, job classification, job description, length of job assignment, and any other evidence that may reasonably be required by the licensing authority to determine suitability; and
    4. Anyone having evidence of experience other than as outlined in this section may submit the evidence to the board for consideration for approval.

History of Section. P.L. 1994, ch. 346, § 1.

5-70-11. Examination.

  1. The director of labor and training shall establish suitable rules and regulations for the examination and licensing of telecommunications technicians, specialists, and businesses and also governing the practice of the professions of telecommunications. This shall not include any prohibition of employment of a properly licensed telecommunications technician, specialist, or business.
  2. The director of labor and training shall hold examinations for individuals applying for licensing at least once each quarter year; provided, that there are applicants qualified under this chapter.
  3. The director of labor and training shall establish those rules and regulations for the examination of applicants to ensure the technical competence of the applicant in one or more of the four (4) categories defined within this chapter that it deems appropriate, but in no case shall technical competence account for less than sixty percent (60%) of the mathematical computation of the examination score and in no case will a passing grade be considered less than seventy percent (70%) of the total score within any one category. No less than twenty-five percent (25%) of the mathematical computation of the examination shall cover knowledge of applicable federal and state codes and regulations.
  4. The director of labor and training shall periodically solicit input from appropriate regulating authorities as to recommendations of subject items to be installed in the appropriate portion of the examination.

History of Section. P.L. 1994, ch. 346, § 1; P.L. 1997, ch. 340, § 1; P.L. 1999, ch. 175, § 1.

5-70-12. Reciprocity.

Reciprocity shall be in accordance with the bylaws of the board. Reciprocity shall be subject to the condition that the authority of a state, territory, or possession of the United States, the District of Columbia, or of any foreign country shall grant equivalent reciprocity rights to holders of licenses issued by this authority.

History of Section. P.L. 1994, ch. 346, § 1.

5-70-13. Grandfathering — Licensing of telecommunications systems contractors (TSC), telecommunications systems technicians (TST), and telecommunications systems limited installers (TSLI) without examination.

  1. At any time prior to the expiration of six (6) months following July 8, 1997, the authority shall, without examination, upon payment of the required fees, issue through the department of labor and training, division of professional regulation, a license “TSC,” “TST,” or “TSLI” to any applicant who shall present satisfactory evidence that he or she has the qualifications for the type and category(ies) of license applied for, and who has a minimum of three (3) years of verified, continual experience installing, altering, servicing, and testing telecommunications systems covered by the license, as applicable, in this state within the five (5) years immediately preceding July 8, 1997. Any applicant for a license TSC under this provision must further provide sworn evidence of satisfactory completion of a minimum of three (3) projects/systems for each category for which application is made.
  2. Any person qualified to obtain a license TSC, TST, or TSLI under this section who is prevented from making application by reason of service in the armed forces of the United States during the six-month (6) period following July 8, 1997, shall have three (3) months after discharge or release from active duty to make the application.
  3. On and after any date that the public utility commission no longer regulates a telephone company, a corporate affiliate of the telephone company, or a service provided by the company or corporate affiliate, the licensing authority shall issue through the department of labor and training, division of professional regulation, an appropriate license as provided in this chapter, to any person who is an employee of the telephone company or the corporate affiliate on this date who, as a result of the deregulation, becomes subject to the provisions of this chapter and who applies for any license in accordance with the provisions of this section not later than six (6) months after the date; provided, that any employee shall not be required to pass any examination in order to qualify for the license.

History of Section. P.L. 1994, ch. 346, § 1; P.L. 1995, ch. 29, § 1; P.L. 1997, ch. 340, § 1; P.L. 1999, ch. 443, § 1.

5-70-14. Renewal of licenses.

  1. Application for renewal of a license must be received by the licensing authority, through the department of labor and training, division of professional regulation, on a form provided by the licensing authority no less than thirty (30) days prior to the expiration date of the license, subject to the right of the licensing authority to permit late filing upon good cause shown.
  2. The licensing authority may refuse to renew a license for any of the grounds stated in this chapter and it shall promptly notify the licensee of its intent to refuse to renew the license. The licensee may, within fifteen (15) days after receipt of the notice of intent to refuse to renew a license, request a hearing on that refusal in the manner prescribed in this chapter. A licensee shall be permitted to continue to engage in the business permitted by the license while its renewal application is pending.
  3. Every certificate issued by the division of professional regulation to license holders born in odd years shall expire on the birthday of the individual qualifying for the license in odd years and all licenses issued by the division of professional regulation to license holders born in even years shall expire on the birthday of the individual qualifying for the license in even years. An individual may renew his or her license by payment of the required biennial renewal fee. An individual who fails to renew his or her license prior to the date may not renew his or her license after this except upon payment of the biennial renewal fee and the additional fee required by this chapter.

History of Section. P.L. 1994, ch. 346, § 1; P.L. 2009, ch. 257, § 2; P.L. 2009, ch. 258, § 2.

Effective Dates.

P.L. 2009, ch. 257, § 6, provides that the amendment to this section by that act takes effect upon passage [November 12, 2009] and provides that for persons born in an even year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2010; for persons born in an odd year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2011.

P.L. 2009, ch. 258, § 6, provides that the amendment to this section by that act takes effect upon passage [November 13, 2009] and provides that for persons born in an even year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2010; for persons born in an odd year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2011.

5-70-15. Certificate — Identification cards.

  1. Upon payment of the fees required by this chapter, an individual who has complied with the requirements of this chapter is entitled to a certificate and identification card indicating that he or she is qualified for licensure under the provisions of this chapter.
  2. Each certificate shall contain the name of the individual to whom it was issued and his or her date of birth and the category or categories under which he or she is licensed.
  3. Each individual identification card shall contain the name of the individual to whom it was issued, his or her date of birth, the class of license, the category or categories to which he or she is licensed, and a head and shoulders picture (passport type) taken within three (3) months prior to the date of issuance of the license.
  4. A duplicate certificate or identification card to replace one that has been lost, destroyed, or mutilated may be issued by the board upon payment of the fee required by this chapter.

History of Section. P.L. 1994, ch. 346, § 1; P.L. 2019, ch. 308, art. 1, § 28.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-70-16. Fees.

  1. The fees paid by an applicant for filing an application for examination, for the examination, for biennial renewal, for renewal of an expired certificate, or for issuance of a duplicate certificate shall be in accordance with a section entitled “Fees,” of the regulations of the department of labor and training.
  2. All fee or other monies collected under the provisions of this chapter shall be paid to and received by the general treasurer who shall keep those monies in a separate fund administered by the department of labor and training pursuant to § 28-22-1.1 . All monies in the fund shall be used to reimburse the board for expenses incurred in the administration and enforcement of this chapter. The controller is authorized and directed to draw his or her orders upon the general treasurer for payment from the fund, upon receipt by the controller of vouchers authenticated by the chairperson or secretary of the board.
  3. A holder of an electrical contractor’s license, certificate A, issued by this state, who has submitted the appropriate application, shall be issued a TSC license without an additional license fee other than that assessed for the electrical contractor’s license, certificate A. This shall remain an ongoing practice and does not have any grandfathering restrictions placed on it. The TSC license shall run concurrent with the electrical contractor’s license. The TSC license shall be separable from and is subject to enforcement by this board.

History of Section. P.L. 1994, ch. 346, § 1; P.L. 2009, ch. 257, § 2; P.L. 2009, ch. 258, § 2.

Effective Dates.

P.L. 2009, ch. 257, § 6, provides that the amendment to this section by that act takes effect upon passage [November 12, 2009] and provides that for persons born in an even year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2010; for persons born in an odd year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2011.

P.L. 2009, ch. 258, § 6, provides that the amendment to this section by that act takes effect upon passage [November 13, 2009] and provides that for persons born in an even year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2010; for persons born in an odd year, the provisions of sections 1 through 5 inclusive shall be applied to such persons as of January 1, 2011.

5-70-17. Records.

  1. The secretary of the board shall keep a record of its proceedings. The record shall include the name, age, and last-known address of each applicant for registration; information concerning each applicant’s education, experience, and other qualifications; the text of all examinations administered and the results; and any other information that the board deems appropriate. The record of the board shall be prima facie evidence of the proceedings and a certified transcript by the secretary shall be admissible in evidence with the same force and effect as if the original were produced.
  2. The board shall maintain a roster of technicians, specialists, and businesses. Copies of the roster shall be made available annually to federal agencies within the state, city and town officials, and may be distributed or sold to the public.
  3. The secretary of the board shall receive and account for all monies derived from the activities of the board and shall submit to the governor and the general assembly a report of its transactions of the preceding year.

History of Section. P.L. 1994, ch. 346, § 1.

5-70-18. Enforcement.

  1. The director of labor and training may refuse to issue a certificate, or may revoke or annul a certificate, or may suspend a certificate for a period not to exceed one year for any of the following acts:
    1. Bribery, fraud, or misrepresentation in obtaining a license;
    2. Performing or engaging in the installation, alteration, service, or testing of telecommunications systems in another state or country in violation of the laws of that state or country;
    3. Performing or engaging in the installation, alteration, service, or testing of telecommunications systems in this state in violation of the provisions of this chapter or standards of professional conduct established and published by the director of labor and training;
    4. Fraud, deceit, recklessness, gross negligence, or incompetence in the installation, alteration, service, or testing of a telecommunications system; or
    5. Use of a license serial number in a manner other than that authorized by this chapter.
  2. The division of professional regulation is authorized to provide assistance to the director of labor and training in the normal day-to-day enforcement and administration of this chapter. This assistance shall be in accordance with sections entitled “administration” and “enforcement” of the bylaws of the board. All administrative guidance to the department shall be consistent with the administrative procedures act, chapter 35 of title 42. The board shall be responsible for the expenses incurred in the administration and enforcement of this chapter and shall authorize payment from the fund to the department of labor and training for these expenses.
  3. Any person may prefer charges against an applicant or licensee under subsection (a) of this section by submitting a written statement of charges, sworn to by the complainant with the director of labor and training. The director of labor and training, or his or her designee, shall hear and determine all charges within three (3) months after the date on which the statement of charges was received by the division of professional regulation. The time and place of the hearing shall be fixed by the director of labor and training. The applicant or licensee charged shall be entitled to be represented by counsel. A hearing shall be conducted in accordance with the provisions for hearings of contested cases in the administrative procedures act, chapter 35 of title 42. The director of labor and training, or his or her designee, may administer oaths and conduct examinations. If, after the hearing, a majority of the members of the board, with the approval of the director of labor and training, find the accused applicant or licensee guilty of a charge or charges, it may refuse to issue a license to the accused applicant or it may revoke or suspend the license of the accused licensee.
  4. The director of labor and training may, in his or her discretion, issue a license to any applicant denied licensing under subsection (c) of this section upon presentation of suitable evidence of reform. The director of labor and training may, in his or her discretion, reissue a license revoked or suspended under subsection (c) of this section upon presentation of suitable evidence of reform. There shall be a right to appeal of the reconsideration, should either party choose, through the courts.
  5. Legal counsel of the department of labor and training shall act as legal advisor to the director of labor and training and shall render the legal assistance that is necessary in carrying out the provisions of this chapter. The board may employ counsel and other necessary assistance to be appointed by the governor to aid in the enforcement of this chapter, and the compensation and expenses shall be paid from the fund of the department of labor and training.

History of Section. P.L. 1994, ch. 346, § 1; P.L. 1999, ch. 175, § 1; P.L. 2019, ch. 308, art. 1, § 28.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-70-19. Local laws — Codes.

  1. Immediately upon July 12, 1994, no local government subdivision within this state shall enact any ordinance or promulgate any rules or regulations relating to the licensing of telecommunications systems businesses or other individuals required to obtain a license under this chapter.
  2. Sixty (60) days after enactment of this chapter, any provision of any legislation or rules or regulations of any local government subdivision within the state requiring the licensing of a telecommunications systems business or requiring that other individuals employed by or associated with a telecommunications systems business obtain licenses shall no longer be effective.
  3. The provisions of this chapter are not intended to and do not prevent the legally constituted authority of any local government subdivision within the state by legislation, rules, or regulations, and within the police power of that local government subdivision, from requiring telecommunications systems businesses to register their names, addresses, and license certificate number with the local government subdivision within which they operate. No fee may be charged nor may any application be required by any local government subdivision for that registration.
  4. Although this chapter preempts local government subdivisions from enacting any licensing legislation or promulgating licensing rules or regulations applicable to telecommunications systems businesses, local governmental authorities may by legislation or reasonable rules or regulations require telecommunications systems users in their jurisdiction to obtain a permit for the permanent installation of system components at the time of installation and fix a nominal fee for those permits. The fees shall be equivalent to those assessed for the installation and inspection of other systems permanently installed within a building or structure.

History of Section. P.L. 1994, ch. 346, § 1.

5-70-20. Severability.

The provisions of this chapter shall be severable, and if any section is declared invalid or void for any reason, the remainder of this chapter shall not be affected or impaired.

History of Section. P.L. 1994, ch. 346, § 1.

5-70-21. Inspection and right of entry.

The division of professional regulation, by and through its telecommunication investigators, shall have the right and authority to enter, during times at which telecommunication work is actually being performed in any commercial building, structure, or premises where telecommunication work is being done, except any building, structure, or premises exempt by law, for the purpose of ascertaining compliance with this chapter.

History of Section. P.L. 1997, ch. 340, § 2.

5-70-22. Authority of director to assess penalty.

  1. The director may assess an administrative penalty on any person, firm, or corporation for any violation of the provisions of this chapter, after notice and hearing, before and upon the recommendation of the board of examination and licensing of telecommunications system contractors, technicians, and installers in the amount of not more than five hundred dollars ($500) for the first offense and not less than five hundred dollars ($500) nor more than one thousand dollars ($1,000) for each subsequent offense; provided, that the director of labor and training may revoke any telecommunication license for a failure to pay any fine recommended by the board and approved by the director of labor and training within thirty (30) days. Each individual person acting in violation of the provisions of this chapter shall constitute a separate offense to any person, firm, or corporation assessed a penalty under this section.
  2. A copy of the order shall be immediately served upon the licensee personally or by registered or certified mail. The order of the board shall be final unless the licensee so charged or complainant shall within twenty (20) days after receipt of the order file with the director of labor and training an appeal. The appeal will be determined by the director or his or her designee. The director may accept or reject, in whole or in part, the recommended order of the board. The order of the director shall be final, subject to review by the courts under the administrative procedures act, chapter 35 of title 42, and a copy of the order shall be immediately served upon the person, firm, or corporation assessed.

History of Section. P.L. 1997, ch. 340, § 2; P.L. 1999, ch. 175, § 1; P.L. 2017, ch. 407, § 4; P.L. 2017, ch. 432, § 4.

Cross References.

Penalties for nonpayment, § 28-22-2 .

Chapter 71 Licensure of Interpreters for the Deaf

5-71-1. Short title.

This chapter shall be known and may be cited as the “Licensure of Interpreters for the Deaf Act.”

History of Section. P.L. 1996, ch. 151, § 1.

5-71-2. Declaration of policy and statement of purpose.

  1. It is declared the policy of the state that the practice of interpreting and the practice of transliterating affects, including, but not limited to, the public health, safety, welfare, civic, economic, social, academic, and recreational aspects of life, and shall be subject to licensure and regulation in the public’s interest. It is further declared that:
    1. Individuals who are deaf, deaf-blind, hard of hearing, or other individuals with disabilities whose primary language is sign language have a civil right to effective communication;
    2. Consumers and those with whom they communicate require, and are entitled to, competent, reliable interpreting services, and that the availability of competent, reliable, credentialed interpreting services is necessary for consumers to realize their right to full and equal participation in society.
  2. A purpose of this chapter is to provide minimum qualifications for interpreters and to ensure the health, safety, and welfare of the public.

History of Section. P.L. 1996, ch. 151, § 1; P.L. 2006, ch. 261, § 1; P.L. 2006, ch. 277, § 1; P.L. 2015, ch. 164, § 2; P.L. 2015, ch. 188, § 2.

5-71-3. Definitions.

  1. “Board” means the state board of examiners for interpreters for the deaf.
  2. “Certified” means any individual who is a certified member of the Registry of Interpreters for the Deaf, Inc. (RID), its successor agency, or other agencies as approved by the department in consultation with the board.
  3. “Certified deaf interpreter,” “deaf interpreter,” or “deaf intermediary interpreter” means any individual who is deaf or hard of hearing and who is a certified member of the Registry of Interpreters for the Deaf, Inc. (RID) or its successor agency approved by the department in consultation with the board.
  4. “Consumer” is an individual who is deaf, deaf-blind, hard of hearing, or an individual with a disability who does not share a common means of communication. This may include, without limitation, American Sign Language (ASL), visual, gestural, auditory, and tactile mode of communication.
  5. “Deaf-blind interpreting” means linguistic information through sign language acquired by individuals who are deaf-blind through their preferred methods depending on the causes of their combined vision and hearing loss, their background, and their education, such as close-vision interpreting and tactile interpreting, while spoken language is conveyed into sign language (e.g. ASL), and sign language (ASL) is conveyed into spoken language.
  6. “Department” means the Rhode Island department of health.
  7. “Director” means the director of the department of health.
  8. “Educational interpreter” means an individual who has specialized certification (elementary and secondary education for grades kindergarten (K) through twelve (12)) and is a certified member of RID or its successor agency approved by the department in consultation with the board in the provision of sign language interpreting to students who are deaf, hard of hearing, or deaf-blind in grades preschool through twelve (12).
  9. “Emergency” means an urgent circumstance that demands immediate action in order for a consumer to avoid imminent harm or loss. In the event of an emergency, the consumer may elect to use the services of a nonlicensed interpreter as set forth in regulations promulgated by the department.
  10. “Intermediary interpreting” means interpreting services rendered by a deaf person to facilitate communication between another deaf person and a licensed interpreter.
  11. “Interpreter” means any person who engages in the practice of interpreting as defined in subsections (5), (10), (12), and (15).
  12. “Interpreting” means conveying spoken English into American Sign Language (ASL), or conveying American Sign Language into English, or interpreting English to and/or from a visual gestural system.
  13. “Screened deaf interpreter” means any person who is deaf or hard of hearing and who presents proof of an active state screening, or its equivalent, and presents proof of successful completion of an examination as approved by the department in consultation with the board.
  14. “Screened interpreter” means any person who presents proof of an active state screening, or its equivalent, and presents proof of successful completion of an examination as approved by the department in consultation with the board.
  15. “Transliterating” means conveying spoken English into manually coded English, or conveying manually coded English into spoken English (sign-to-voice), or conveying English on the lips so that it is accessible to speech reading (e.g. oral transliterating, or any auditory communication as a visual form in English such as cued speech).

History of Section. P.L. 1996, ch. 151, § 1; P.L. 2006, ch. 261, § 1; P.L. 2006, ch. 277, § 1; P.L. 2011, ch. 160, § 1; P.L. 2011, ch. 169, § 1; P.L. 2015, ch. 164, § 2; P.L. 2015, ch. 188, § 2.

5-71-4. Board of examiners — Creation — Compensation — Appointment, terms, and qualifications of members.

  1. There shall exist within the state department of health a board of examiners of interpreters for the deaf. The board shall consist of five (5) persons who shall be residents of the state of Rhode Island for at least two (2) years prior to their appointments: three (3) nationally certified interpreters, and two (2) consumers.
  2. All appointments made under this section shall be made by the governor with the advice and consent of the senate. In making appointments to the board, the governor shall give consideration to recommendations made by the commission on the deaf and hard-of-hearing established pursuant to § 23-1.8-1 . All members shall serve terms of three (3) years. Members shall serve until the expiration of the term for which they have been appointed or until their successor is appointed. No person shall be appointed to serve more than two (2) consecutive terms. When a vacancy upon the board occurs, a replacement shall be appointed for the remainder of that term as prescribed in this section.
  3. The board shall reorganize annually during the month of December and shall elect a chairperson and vice chairperson for the subsequent calendar year. The board may elect from among its members such other officers as it deems necessary.
  4. Three (3) members of the board shall constitute a quorum to do business. A majority vote of those present shall be required for action.
  5. Members of the board shall be removable by the governor pursuant to the provisions of § 36-1-7 and for cause only, and removal solely for partisan or personal reasons unrelated to capacity or fitness for the office shall be unlawful.

History of Section. P.L. 1996, ch. 151, § 1; P.L. 2001, ch. 180, § 4; P.L. 2006, ch. 14, § 1; P.L. 2006, ch. 16, § 1; P.L. 2011, ch. 160, § 1; P.L. 2011, ch. 169, § 1.

5-71-5. Board of examiners — Duties and powers — Meetings — Compensation of members.

  1. The department, with the assistance of the board, shall administer, coordinate, and enforce the provisions of this chapter; evaluate the qualifications of applicants; and may issue subpoenas, examine witnesses, administer oaths, and investigate persons engaging in practices that violate the provisions of this chapter.
  2. The department shall conduct hearings and shall keep records and minutes that are necessary for the orderly dispatch of business.
  3. The department shall hold public hearings regarding rules and regulations.
  4. The department in consultation with the board, in accordance with the rulemaking provisions of the “administrative procedures act” (chapter 35 of title 42), shall adopt responsible rules and regulations and may amend or repeal those rules and regulations. Following their adoption, the rules and regulations shall govern and control the professional conduct of every person who holds a license to practice interpreting or transliterating in the state of Rhode Island.
  5. Regular meetings of the board shall be held, and special meetings may be held, upon the call of the chairperson as necessary to deal with such issues as violations of this chapter; provided, that at least one regular meeting is held each calendar year.
  6. The conferral or enumeration of specific powers in this chapter shall not be construed as a limitation of the general powers conferred by the section. No member of the board shall be liable to civil action for any act performed in good faith in the performance of his or her duties as prescribed by this chapter.
  7. Board members shall serve on an honorable basis without compensation.
  8. The board may request legal advice and assistance from the appropriate legal officer.
  9. The board shall conduct a training course for newly appointed and qualified members within six (6) months of their appointment. The course shall be developed and conducted by the chair of the board, approved by the department, and shall include instruction in the subject areas of this chapter, and chapter 46 of title 42, chapter 14 of title 36, and chapter 2 of title 38, and the board’s rules and regulations. The director of the department of health shall, within ninety (90) days, prepare and disseminate training materials relating to the provisions of chapter 46 of title 42, chapter 14 of title 36, and chapter 2 of title 38.
  10. Within ninety (90) days after the end of each fiscal year, the board shall approve and submit an annual report to the governor, the speaker of the house of representatives, the president of the senate, and the secretary of state of its activities during that fiscal year. The report shall provide: an operating statement summarizing meetings or hearings held, including meeting minutes, subjects addressed, decisions rendered, licenses considered and their dispositions, rules or regulations promulgated, studies conducted, policies and plans developed, approved or modified, and programs administered or initiated; a consolidated financial statement of all funds received and expended including the source of the funds, a listing of any staff supported by these funds, and a summary of any clerical, administrative, or technical support received; a summary of performance during the previous fiscal year including accomplishments, shortcomings, and remedies; a synopsis of hearings, complaints, suspensions, or other legal matters related to the authority of the board; a summary of any training courses held pursuant to the provisions of subsection (i); a briefing on anticipated activities in the upcoming fiscal year; and findings and recommendations for improvements. The report shall be posted electronically on the general assembly and the secretary of state’s websites as prescribed in § 42-20-8.2 . The director of the department of health shall be responsible for the enforcement of this provision.

History of Section. P.L. 1996, ch. 151, § 1; P.L. 2001, ch. 77, art. 14, § 27; P.L. 2006, ch. 14, § 1; P.L. 2006, ch. 16, § 1; P.L. 2006, ch. 261, § 1; P.L. 2006, ch. 277, § 1; P.L. 2007, ch. 73, art. 39, § 24; P.L. 2009, ch. 310, § 43; P.L. 2015, ch. 164, § 2; P.L. 2015, ch. 188, § 2.

5-71-6. Board of examiners — Seal — Authentication of records.

The board shall adopt the state seal by which it shall authenticate its proceedings. Copies of the proceedings, records, and acts of the board, and certificates purporting to relate the facts concerning those proceedings, records, and acts, signed by the secretary and authenticated by that seal, shall be evidence in all courts of this state.

History of Section. P.L. 1996, ch. 151, § 1.

5-71-7. Disposition of moneys received.

All moneys received by the board shall be deposited in the treasury of the state.

History of Section. P.L. 1996, ch. 151, § 1.

5-71-8. Qualifications of applicants for licenses.

  1. To be eligible for licensure by the board as an interpreter for the deaf or transliterator, the applicant must submit written evidence on forms furnished by the department, verified by oath, that the applicant meets all of the following requirements:
    1. Is of good moral character;
    2. Meets the screened requirements as defined in regulations promulgated by the department or meets the certification requirements set forth by RID or its successor agency approved by the department in consultation with the board;
    3. Pays the department a license fee as set forth in § 23-1-54 ;
    4. Adheres to the National Association of the Deaf (NAD) and the Registry of Interpreters for the Deaf, Inc. (RID) code of professional conduct; and
    5. Provides verification of a background check with the bureau of criminal investigation in the office of attorney general at the time of the initial application for license.
  2. To be eligible for licensure by the board as an educational interpreter for the deaf, the applicant must meet all of the requirements as described in subsection (a) and must further present proof of successful completion of the educational interpreter performance assessment (EIPA), written and performance tests, or a similar test as approved by the board, at a performance level established by the board.
  3. An individual whose license, certification, permit, or equivalent form of permission issued within another state has been revoked, suspended, or currently placed on probation shall not be eligible for consideration for licensure unless they have first disclosed to the department about such disciplinary actions.

History of Section. P.L. 1996, ch. 151, § 1; P.L. 2001, ch. 77, art. 14, § 27; P.L. 2006, ch. 261, § 1; P.L. 2006, ch. 277, § 1; P.L. 2007, ch. 73, art. 39, § 24; P.L. 2011, ch. 160, § 1; P.L. 2011, ch. 169, § 1; P.L. 2012, ch. 241, art. 9, § 28; P.L. 2015, ch. 164, § 2; P.L. 2015, ch. 188, § 2; P.L. 2016, ch. 511, art. 1, § 4.

5-71-9. Licensure and regulations of interpreters for the deaf.

  1. Licensure shall be granted when a person meets the certification requirements as defined in regulations promulgated by the department. A person only needs one license under “certified” or “screened” if he or she is qualified as defined in § 5-71-8(a) and recognized by the RID and the NAD or its successor agency approved by the department in consultation with the board as outlined in § 5-71-3 .
  2. No person shall practice or hold him or herself out as being able to practice interpreting, educational interpreting, or intermediary interpreting as defined in § 5-71-3 unless he or she shall be licensed in accordance with the provisions of this chapter. No person shall hold himself or herself out as being an educational interpreter as defined in § 5-71-3 unless he or she is licensed in accordance with the provisions of this chapter.
  3. All licensed interpreters upon commencing to practice, and upon any change in address, shall promptly notify the department of said change in home or office address and shall furnish any other information to the department that it may require. All licensed interpreters shall annually, before July 1st, pay the department a license renewal fee, as set forth in § 23-1-54 , for each license. The department may suspend the authority of any licensed interpreter to practice for failure to comply with any of the requirements of this chapter or the regulations promulgated thereunder. The department makes available for public inspection a complete list of the names of all interpreters licensed and practicing in the state.
  4. Three (3) types of licensure may be issued to interpreters:
    1. A certified license shall be granted to interpreters who have met the certification requirements as set forth in regulations promulgated by the department. The two (2) licenses under “certified” are called “certified interpreter” and “certified deaf interpreter”;
    2. A screened license of limited duration determined by the board shall be granted to interpreters who have met the educational requirements as set forth in regulations promulgated by the department and who have successfully completed a recognized state screening or state equivalent as determined by the department in consultation with the board. The two (2) licenses under “screened” are called “screened interpreter” and “screened deaf interpreter”;
    3. An educational interpreter license may be granted to interpreters who meet the requirements of § 5-71-8(b) . This license is called “educational interpreter.”
  5. All certified licensed interpreters shall be required to complete continuing education as set forth by RID or its successor agency approved by the department in consultation with the board. All licensed screened interpreters shall be required to complete continuing education as set forth in the regulations promulgated by the department.

History of Section. P.L. 1996, ch. 151, § 1; P.L. 2006, ch. 261, § 1; P.L. 2006, ch. 277, § 1; P.L. 2011, ch. 160, § 1; P.L. 2011, ch. 169, § 1; P.L. 2012, ch. 241, art. 9, § 28; P.L. 2015, ch. 164, § 2; P.L. 2015, ch. 188, § 2.

5-71-10. Endorsement.

The department in consultation with the board shall promulgate regulations providing for a procedure for waiver of the requirements of § 5-71-9 for applicants who hold a valid license, certificate, or equivalent issued within another state; provided, that the requirements under which that license, certificate, or equivalent was issued, meet or exceed the standards required by this chapter.

History of Section. P.L. 1996, ch. 151, § 1; P.L. 2006, ch. 261, § 1; P.L. 2006, ch. 277, § 1.

5-71-11, 5-71-12. [Repealed.]

Repealed Sections.

These sections (P.L. 1996, ch. 151, § 1; P.L. 1999, ch. 100, § 1; P.L. 1999, ch. 242, § 1), concerning accepting national certification or special licenses in lieu of course work and grandparent licensing, were repealed by P.L. 2006, ch. 261, § 3, and P.L. 2006, ch. 277, § 3, effective July 3, 2006.

5-71-13. Grounds for suspension or revocation of licenses.

  1. The board may recommend to the director of the department of health the issuance, renewal, or revocation of a license, or suspension, placement on probation, censure or reprimand a licensee, or any other disciplinary action that the board may deem appropriate, for conduct that may result from, but not necessarily be limited to:
    1. Obtaining his or her license by means of fraud, misrepresentation, or concealment of material facts;
    2. Being guilty of fraud, misrepresentation, concealment, or material misstatement of facts or deceit in connection with his or her services rendered as an interpreter;
    3. Being guilty of unprofessional conduct as defined by the rules established by the department in consultation with the board, and/or violating any standard of professional or ethical conduct adopted by the National Registry of Interpreters for the Deaf;
    4. Violating the continuing education requirements of this chapter, as defined in § 5-71-9(e) , and rules and regulations as promulgated by the department;
    5. Violating any lawful order, or any provision of this chapter or of the rules or regulations promulgated in this chapter;
    6. Aiding or assisting another person in violating any provision of this chapter or any rule or regulation adopted under this chapter;
    7. Departure from or failure to conform to the current standards of acceptable and prevailing practice of interpreting.
  2. Working under a license that is expired or on inactive status, working under a license when certification is expired or on inactive status, and practicing interpreting without being exempt under § 5-71-10 shall be considered to be practicing without a license.
  3. The department shall respond to all recommendations from the board under this section within thirty (30) calendar days.

History of Section. P.L. 1996, ch. 151, § 1; P.L. 2006, ch. 261, § 1; P.L. 2006, ch. 277, § 1; P.L. 2011, ch. 160, § 1; P.L. 2011, ch. 169, § 1; P.L. 2015, ch. 164, § 2; P.L. 2015, ch. 188, § 2.

5-71-14. [Repealed.]

History of Section. P.L. 1996, ch. 151, § 1; Repealed by P.L. 2006, ch. 261, § 3, effective July 3, 2006; P.L. 2006, ch. 277, § 3, effective July 3, 2006.

Compiler’s Notes.

Former § 5-71-14 concerned revocation, suspension and reinstatement of license.

5-71-15. Persons and practices exempted.

The provisions of this chapter do not apply to:

  1. Any certified interpreter and any certified deaf interpreter working as an interpreter in court.
  2. Certified interpreters and certified deaf interpreters performing as volunteers without compensation.
  3. Certified interpreters and any certified deaf interpreters performing in an emergency as defined in § 5-71-3(9) and as set forth in regulations promulgated by the department.
  4. Nonlicensed individuals who are certified members of the Registry of Interpreters for the Deaf, Inc. (RID), its successor agency, or other agency as approved by the department in consultation with the board, who may provide services for a maximum of twenty-five (25) hours per calendar year.

History of Section. P.L. 1996, ch. 151, § 1; P.L. 1999, ch. 100, § 1; P.L. 1999, ch. 242, § 1; P.L. 2006, ch. 261, § 1; P.L. 2006, ch. 277, § 1; P.L. 2011, ch. 160, § 1; P.L. 2011, ch. 169, § 1; P.L. 2015, ch. 164, § 2; P.L. 2015, ch. 188, § 2.

5-71-16. Relationship to other civil rights laws.

  1. This chapter does not limit or qualify the rights of employees with disabilities nor consumers, including, but not limited to, interpreter services, or the duties of providers to provide accommodations, auxiliary aids, or services, pursuant to 42 U.S.C. § 12201 et seq., 29 U.S.C. § 794, R.I. Const. Art. I, § 2 ; chapter 87 of title 42; chapter 24 of title 11; chapter 5 of title 28; § 42-46-13 ; § 8-5-8 ; § 9-9-1.2 ; or other applicable federal or state law.
  2. The obligations of these cited federal or state civil rights laws include, but are not limited to:
    1. A state and local governmental agency’s taking appropriate steps to ensure that communications with applicants, participants, employees, and members of the public with disabilities are as effective as communications with others. State and local governmental agencies shall furnish appropriate auxiliary aids and services where necessary to afford an individual with a disability an equal opportunity to participate in and enjoy the benefits of a service, program, or activity conducted by a state or local governmental agency and shall include the use of certified deaf interpreters in legal proceedings. In determining what type of auxiliary aid or service is necessary, a state or local governmental agency shall give primary consideration to the requests of the individual;
    2. A public accommodation taking those steps that may be necessary to ensure that no individual with a disability is excluded, denied services, segregated, or treated differently than other individuals because of the absence of auxiliary aids and services, unless the public accommodations can demonstrate that taking those steps would fundamentally alter the nature of the goods, services, facilities, privileges, advantages, or accommodations being offered or would result in an undue burden, i.e., significant difficulty or expense. A public accommodation shall furnish appropriate auxiliary aids and services where necessary to ensure effective communication with individuals with disabilities; and
    3. An employer and/or employment agency making reasonable accommodations, including the provision of interpreters, for their employees with disabilities where necessary to ensure effective communication with individuals with disabilities.

History of Section. P.L. 1996, ch. 151, § 1; P.L. 2015, ch. 164, § 2; P.L. 2015, ch. 188, § 2.

5-71-17. Severability.

If any provision of this chapter or of any rule or regulation made under this chapter, or the application of this chapter to any person or circumstances, is held invalid by a court of competent jurisdiction, the remainder of the chapter, rule, or regulation, and the application of that provision to other persons or circumstances, shall not be affected thereby.

History of Section. P.L. 1996, ch. 151, § 1.

5-71-18. Privileged communications.

In the trial of every cause, both civil and criminal, no licensed interpreter shall be competent to testify concerning any statement made to him or her in connection with the interpreter’s interpretation or transliteration without the consent of the person making the statement. No duly licensed interpreter shall be allowed, in giving testimony, to disclose any confidential communication properly entrusted to him or her in his or her professional capacity and necessary and proper to enable him or her to discharge the functions of his or her office in the usual course of practice or discipline without the consent of the person making the communication.

History of Section. P.L. 2006, ch. 261, § 2; P.L. 2006, ch. 277, § 2; P.L. 2015, ch. 164, § 2; P.L. 2015, ch. 188, § 2.

Chapter 72 Town of Johnston — Nudity on Premises Where Alcoholic Beverages Are Offered for Sale or Consumption

5-72-1. General provisions.

It shall be unlawful of any person maintaining, owning, or operating a commercial establishment located within the town of Johnston, at which alcoholic beverages are offered for sale or consumption on the premises, to, without a license pursuant to § 5-72-2 :

  1. Suffer or permit any female person, while on the premises of the commercial establishment, to expose to the public view that area of the human breast at or below the areola.
  2. Suffer or permit any female person, while on the premises of the commercial establishment to employ any device or covering that is intended to give the appearance of or simulate the portions of the human female breast as described in subsection (1).
  3. Suffer or permit any person, while on the premises of the commercial establishment, to expose to public view his or her genitals or pubic area.
  4. Suffer or permit any person, while on the premises of the commercial establishment, to employ any device or covering that is intended to give the appearance of or simulate the genitals or pubic area.

History of Section. P.L. 1997, ch. 9, § 2.

5-72-2. Licensure and regulations.

  1. The town council of the town of Johnston, shall, in addition to the licensing and regulatory powers enumerated in this title, have the power to license any establishment where nudity is permitted on the premises and alcoholic beverages are offered for sale or consumption on the premises.
  2. The town council shall have the power to limit the hours of operation of any such establishment and may designate specific areas within the town of Johnston where nudity on the premises where alcoholic beverages are offered for sale or consumption on the premises may be permitted and/or to prohibit the operation of any new establishment.

History of Section. P.L. 1997, ch. 9, § 2.

5-72-3. Revocation of license.

If the owner, operator, licensee, lessor, lessee, manager, employee, or any other person participating in the operation of an establishment located within the town of Johnston at which alcoholic beverages are offered for sale for consumption on the premises shall violate or is in violation of any of the provisions of this chapter, the town council may revoke the license for the establishment after giving reasonable notice to the holder of the license and affording the holder an opportunity to be heard as to why the revocation should not be issued.

History of Section. P.L. 1997, ch. 9, § 2.

5-72-4. Severability.

If any provision or part of this chapter, or application of this chapter to any person or circumstances is held unconstitutional or otherwise invalid, the remaining provisions of this chapter and the application of the provisions to other persons or circumstances other than those to which it is held invalid, shall not be affected.

History of Section. P.L. 1997, ch. 9, § 2.

Chapter 73 Roofing Contractors

5-73-1. Definitions.

As used in this chapter, the following terms have the following meanings:

  1. “Board” means the contractors’ registration and licensing board as defined in § 5-65-1 .
  2. “Nonresidential structure” means and includes any and all commercial or industrial structures or buildings, and shall not include any residential structures consisting of four (4) dwelling units or less.
  3. “Roofing” means and includes any and all construction, renovation, or other work performed on or about the roof, as the term is commonly used, of any nonresidential structure or similar building and shall specifically include sealing, water proofing, weatherproofing, related sheet-metal work, and similar work.
  4. “Roofing contractor” means any person or entity engaged in the state of Rhode Island in the business of commercial or industrial roofing, or any combination of these.
  5. “Shingles” mean wood or other materials, excluding slate, used in courses to cover roofs.

History of Section. P.L. 1998, ch. 243, § 1; P.L. 2000, ch. 445, § 1; P.L. 2001, ch. 257, § 2; P.L. 2001, ch. 327, § 2; P.L. 2007, ch. 228, § 4.

5-73-2. Purpose.

The purpose of this chapter is to promote public safety, health, and welfare by providing a mechanism to ensure that all roofing contractors conducting business in the state of Rhode Island have the requisite skills, training, and experience necessary to safely and adequately conduct roofing activities within this state.

History of Section. P.L. 1998, ch. 243, § 1.

5-73-3. Registration and licensing of roofing contractors.

  1. All roofing contractors, in addition to the requirements of chapter 65 of this title entitled “Contractors’ Registration and Licensing Board,” if applicable, prior to conducting roofing business in the state of Rhode Island, shall first submit an application to and be licensed by the contractors’ registration and licensing board on the form or forms that the board requires. The application shall include the following information:
    1. The name of the applicant;
    2. The business address of the applicant;
    3. The mailing address of the applicant;
    4. The telephone number of the applicant;
    5. The name of the party or officer who shall be responsible for all roofing activities conducted in the state of Rhode Island;
    6. Any registration number and/or other license numbers issued by the state, or any city or town; and
    7. A statement of the skills, training, and experience of the applicant sufficient to ensure public safety, health, and welfare.
  2. Licensing requirements shall not apply to roofing contractors applying shingles only.
  3. To be eligible for licensure as a roofing contractor, an applicant shall also fulfill the following requirements:
    1. [Deleted by P.L. 2021, ch. 152, §  1 and P.L. 2021, ch. 157, §  1.]
    2. Pass an examination approved or administered by the contractors’ registration and licensing board or has previously been registered as a commercial roofer in good standing and has met all the requirements of the rules and regulations established by the board;
    3. Be in good standing with the contractors’ registration and licensing board;
    4. All field personnel of the roofing contractor must have a current certificate of completion of the ten-hours (10) OSHA safety course or equivalent thereof as determined by the contractors’ registration and licensing board;
    5. Take twelve (12) hours continuing roofing education per two-year (2) licensing cycle as set forth and recognized by the contractors’ registration and licensing board; and
    6. [Deleted by P.L. 2021, ch. 152, §  1 and P.L. 2021, ch. 157, §  1.]
    7. Provide the board with an insurance certificate in the amount of two million dollars ($2,000,000) per occurrence pursuant to the established rules and regulations, with the board as the holder, from the date of issuance, continuously.
    1. The contractors’ registration and licensing board is authorized to adopt rules and regulations pursuant to the administrative procedures act, chapter 35 of title 42, necessary to effectuate the purposes of this chapter.
    2. Rules and regulations shall provide a fine schedule that will establish grounds for discipline for licensee holders or nonlicensed contractors.
    3. Fines shall be structured not to exceed five thousand dollars ($5,000) per day, per offense for conduct injurious to the welfare of the public as well as those required pursuant to § 5-65-10 .
  4. Any person applying for a license or registration and making any material misstatement as to his or her experience or other qualifications, or any person, firm, or corporation subscribing to or vouching for any misstatement shall be subject to the discipline and penalties provided in § 5-65-10 .
  5. No corporation, firm, association, or partnership shall engage in the business of commercial roofing or represent itself as a commercial roofing contractor unless a licensed commercial roofer as provided in this chapter is continuously engaged in the supervision of its commercial roofing work, provided that the commercial roofer is a general partner or an officer and shareholder in the firm or corporation. If the license holder dies or otherwise becomes incapacitated, the corporation, firm, or association shall be allowed to continue to operate until the next examination shall be given or such times as the board shall see fit. In no event shall the corporation, firm, association, or partnership continue to operate longer than twelve (12) months or in accordance with the board’s established rules and regulations without satisfying the license requirements of this chapter. Those roofers who have been registered with the board on July 1, 2015, and remain in good standing, shall be exempt from the testing requirements set forth in this chapter.
  6. Complaints filed with the board shall be heard only in regard to those issues so established in the rules and regulations.

History of Section. P.L. 1998, ch. 243, § 1; P.L. 2000, ch. 445, § 1; P.L. 2001, ch. 257, § 2; P.L. 2001, ch. 327, § 2; P.L. 2003, ch. 282, § 3; P.L. 2007, ch. 228, § 4; P.L. 2021, ch. 152, § 1, effective July 1, 2021; P.L. 2021, ch. 157, § 1, effective July 1, 2021.

Compiler's Notes.

P.L. 2021, ch. 152, § 1 and P.L. 2021, ch. 157, § 1 enacted identical amendments to this section.

5-73-4. Registration fee.

All roofing contractors shall submit a payment in the amount of four hundred dollars ($400), which shall support the licensing program, representing a license fee along with the application referenced in § 5-73-3 , and be required to comply with the provisions of chapter 65 of this title and those provisions shall be interpreted to include commercial roofers as defined in this chapter. Beginning July 1, 2008, all fines and fees collected pursuant to this chapter shall be deposited into a restricted-receipt account for the exclusive use of supporting programs established by the board. The license shall expire every two (2) years on the anniversary date of the license’s issuance and may be renewed upon payment of a two hundred dollar ($200) fee.

History of Section. P.L. 1998, ch. 243, § 1; P.L. 2000, ch. 445, § 1; P.L. 2001, ch. 257, § 2; P.L. 2001, ch. 327, § 2; P.L. 2003, ch. 282, § 3; P.L. 2007, ch. 228, § 4; P.L. 2021, ch. 162, art. 6, § 2, effective July 1, 2021.

5-73-5. Penalties for violations.

  1. Any person who operates as a roofing contractor without a license as adjudged in a final order issued by the board, upon proper written notification, is deemed guilty of a misdemeanor and, upon conviction, shall be imprisoned for a term not exceeding one year, fined not more than one thousand dollars ($1,000), or both, for a first or second offense. A third or subsequent violation of this subsection is to be deemed a felony and, upon conviction, the person shall be imprisoned for a term not exceeding two (2) years, fined not more than two thousand dollars ($2,000), or both.
  2. Any person who violates a final order of the board where the monetary total of the order including, but not limited to, the monetary judgment and/or fines, is not more than five thousand dollars ($5,000), upon proper written notification, is deemed guilty of a misdemeanor and, upon conviction, shall be imprisoned for a term not exceeding one year, fined not more than one thousand dollars ($1,000), or both.
  3. Any person who violates a final order of the board where the monetary total of the order including, but not limited to, the monetary judgment and/or fines, is five thousand dollars ($5,000) or more, upon proper written notification, is deemed guilty of a felony and, upon conviction, shall be imprisoned for a term not exceeding ten (10) years, fined not more than ten thousand dollars ($10,000), or both.
  4. A final order shall be considered delivered when served to a defendant or designated agent to accept service. In addition to any sentence or fine imposed by the court under subsections (a), (b), and (c), the court shall order a defendant to comply with any outstanding final order of the board, including any monetary judgment, and to pay to the board any outstanding fine or fines previously imposed by the board pursuant to this chapter.
  5. If a roofing contractor is a repeat offender with violations of three (3) or more final orders of the board with respect to three (3) separate contracts executed by three (3) separate individuals/aggrieved parties and the violations are filed within a twenty-four-month (24) period, the violation shall be prosecuted as a felony and, upon conviction, the violator shall be subject to imprisonment for a term not to exceed ten (10) years or fined not more than ten thousand dollars ($10,000), or both.

History of Section. P.L. 2018, ch. 64, § 5; P.L. 2018, ch. 69, § 5.

Chapter 74 Athlete Agents [Repealed.]

5-74-1 — 5-74-10. [Repealed.]

Repealed Sections.

This chapter (P.L. 2003, ch. 151, § 1; P.L. 2003, ch. 157, § 1), relating to athlete agents, was repealed by P.L. 2008, ch. 246, § 1, effective July 5, 2008. For present comparable provisions, see chapter 74.1 of this title.

Chapter 74.1 Uniform Athlete Agents Act

5-74.1-1. [Reserved.]

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-2. Definitions.

As used in this chapter:

  1. “Agency contract” means an agreement in which a student athlete authorizes a person to negotiate or solicit on behalf of the student athlete a professional sports services contract or an endorsement contract.
  2. “Athlete agent” means an individual who enters into an agency contract with a student athlete or, directly or indirectly, recruits or solicits a student athlete to enter into an agency contract. The term includes an individual who represents to the public that the individual is an athlete agent. The term does not include a spouse, parent, sibling, grandparent, or guardian of the student athlete or an individual acting solely on behalf of a professional sports team or professional sports organization.
  3. “Athletic director” means an individual responsible for administering the overall athletic program of an educational institution or, if an educational institution has separately administered athletic programs for male students and female students, the athletic program for males or the athletic program for females, as appropriate.
  4. “Contact” means a communication, direct or indirect, between an athlete agent and a student athlete, to recruit or solicit the student athlete to enter into an agency contract.
  5. “Endorsement contract” means an agreement under which a student athlete is employed or receives consideration to use on behalf of the other party any value that the student athlete may have because of publicity, reputation, following, or fame obtained because of athletic ability or performance.
  6. “Intercollegiate sport” means a sport played at the collegiate level for which eligibility requirements for participation by a student athlete are established by a national association for the promotion or regulation of collegiate athletics.
  7. “Person” means an individual, corporation, business trust, estate, trust, partnership, limited-liability company, association, joint venture, government, governmental subdivision, agency, or instrumentality, public corporation, or any other legal or commercial entity.
  8. “Professional sports services contract” means an agreement under which an individual is employed, or agrees to render services, as a player on a professional sports team, with a professional sports organization, or as a professional athlete.
  9. “Record” means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form.
  10. “Registration” means registration as an athlete agent pursuant to this chapter.
  11. “State” means a state of the United States, the District of Columbia, Puerto Rico, the United States Virgin Islands, or any territory or insular possession subject to the jurisdiction of the United States.
  12. “Student athlete” means an individual who engages in, is eligible to engage in, or may be eligible in the future to engage in, any intercollegiate sport. If an individual is permanently ineligible to participate in a particular intercollegiate sport, the individual is not a student athlete for purposes of that sport.

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-3. Service of process — Subpoenas.

  1. By acting as an athlete agent in this state, a nonresident individual appoints the Rhode Island secretary of state as the individual’s agent for service of process in any civil action in this state related to the individual’s acting as an athlete agent in this state.
  2. The Rhode Island secretary of state may issue subpoenas for any material that is relevant to the administration of this chapter.

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-4. Athlete agents — Registration required — Void contracts.

  1. Except as otherwise provided in subsection (b) of this section, an individual may not act as an athlete agent in this state without holding a certificate of registration under § 5-74.1-6 or § 5-74.1-8 .
  2. Before being issued a certificate of registration, an individual may act as an athlete agent in this state for all purposes except signing an agency contract, if:
    1. A student athlete or another person acting on behalf of the student athlete initiates communication with the individual; and
    2. Within seven (7) days after an initial act as an athlete agent, the individual submits an application for registration as an athlete agent in this state.
  3. An agency contract resulting from conduct in violation of this section is void and the athlete agent shall return any consideration received under the contract.

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-5. Registration as athlete agent — Form — Requirements.

  1. An applicant for registration shall submit an application for registration to the secretary of state in a form prescribed by the secretary of state. An application filed under this section is a public record. The application must be in the name of an individual and, except as otherwise provided in subsection (b) herein, signed or otherwise authenticated by the applicant under penalty of perjury and state or contain:
    1. The name of the applicant and the address of the applicant’s principal place of business;
    2. The name of the applicant’s business or employer, if applicable;
    3. Any business or occupation engaged in by the applicant for the five (5) years next preceding the date of submission of the application;
    4. A description of the applicant’s:
      1. Formal training as an athlete agent;
      2. Practical experience as an athlete agent; and
      3. Educational background relating to the applicant’s activities as an athlete agent;
    5. The names and address of three (3) individuals not related to the applicant who are willing to serve as references;
    6. The name, sport, and last-known team for each individual for whom the applicant acted as an athlete agent during the five (5) years next preceding the date of submission of the application;
    7. The names and addresses of all persons who are:

      (i) With respect to the athlete agent’s business if it is not a corporation, the partners, members, officers, managers, associates, or profit shares of the business; and

      (ii) With respect to a corporation employing the athlete agent, the officers, directors, and any shareholder of the corporation having an interest of five percent (5%) or greater;

    8. Whether the applicant or any person named pursuant to subsection (a)(7) has been convicted of a crime that, if committed in this state, would be a felony, and identify the crime;
    9. Whether there has been any administrative or judicial determination that the applicant or any person named pursuant to subsection (a)(7) has made a false, misleading, deceptive, or fraudulent representation;
    10. Any instance in which the conduct of the applicant or any person named pursuant to subsection (a)(7) resulted in the imposition of a sanction, suspension, or declaration of ineligibility to participate in an interscholastic or intercollegiate athletic event on a student athlete or educational institution;
    11. Any sanction, suspension, or disciplinary action taken against the applicant or any person named pursuant to subsection (a)(7) arising out of occupational or professional conduct; and
    12. Whether there has been any denial of an application for, suspension or revocation of, or refusal to renew the registration or licensure of the applicant or any person named pursuant to subsection (a)(7) as an athlete agent in any state.
  2. An individual who has submitted an application for, and holds a certificate of registration or licensure as an athlete agent in another state, may submit a copy of the application and certificate in lieu of submitting an application in the form prescribed pursuant to subsection (a). The secretary of state shall accept the application and the certificate from the other state as an application for registration in this state if the application to the other state:
    1. Was submitted in the other state within six (6) months next preceding the submission of the application in this state and the applicant certifies that the information contained in the application is current;
    2. Contains information substantially similar to or more comprehensive than that required in an application submitted in this state; and
    3. Was signed by the applicant under penalty of perjury.

History of Section. P.L. 2008, ch. 246, § 2; P.L. 2021, ch. 400, § 21, effective July 13, 2021; P.L. 2021, ch. 401, § 21, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 21, and P.L. 2021, ch. 401, § 21 enacted identical amendments to this section.

5-74.1-6. Certificate of registration — Issuance or denial — Renewal.

  1. Except as otherwise provided in subsection (b) of this section, the secretary of state shall issue a certificate of registration to an individual who complies with § 5-74.1-5(a) or whose application has been accepted under § 5-74.1-5(b) .
  2. The secretary of state may refuse to issue a certificate of registration if the secretary of state determines that the applicant has engaged in conduct that has a significant adverse effect on the applicant’s fitness to act as an athlete agent. In making the determination, the secretary of state may consider whether the applicant has:
    1. Been convicted of a crime that, if committed in this state, would be a felony;
    2. Made a materially false, misleading, deceptive, or fraudulent representation in the application or as an athlete agent;
    3. Engaged in conduct that would disqualify the applicant from serving in a fiduciary capacity;
    4. Engaged in conduct prohibited by § 5-74.1-14 ;
    5. Had a registration or licensure as an athlete agent suspended, revoked, or denied or been refused renewal of registration or licensure as an athlete agent in any state;
    6. Engaged in conduct the consequence of which was that a sanction, suspension, or declaration of ineligibility to participate in an interscholastic or intercollegiate athletic event was imposed on a student athlete or educational institution; or
    7. Engaged in conduct that significantly adversely reflects on the applicant’s credibility, honesty, or integrity.
  3. In making a determination under subsection (b) of this section, the secretary of state shall consider:
    1. How recently the conduct occurred;
    2. The nature of the conduct and the context in which it occurred; and
    3. Any other relevant conduct of the applicant.
  4. An athlete agent may apply to renew a registration by submitting an application for renewal in a form prescribed by the secretary of state. An application filed under this section is a public record. The application for renewal must be signed by the applicant under penalty of perjury and must contain current information on all matters required in an original registration.
  5. An individual who has submitted an application for renewal of registration or licensure in another state, in lieu of submitting an application for renewal in the form prescribed pursuant to subsection (d) of this section, may file a copy of the application for renewal and a valid certificate of registration or licensure from the other state. The secretary of state shall accept the application for renewal from the other state as an application for renewal in this state if the application to the other state:
    1. Was submitted in the other state within six (6) months next preceding the filing in this state and the applicant certifies the information contained in the application for renewal is current;
    2. Contains information substantially similar to or more comprehensive than that required in an application for renewal submitted in this state; and
    3. Was signed by the applicant under penalty of perjury.
  6. A certificate of registration or a renewal of a registration is valid for two (2) years.
  7. Upon the secretary of state’s approval of any registration for an athlete agent, the secretary of state’s office will notify the athletic director of any institution of higher education within the state of Rhode Island that participates in intercollegiate athletics at the Division I, II, or III level by providing that office with a copy of the agent’s registration and disclosure statements.

History of Section. P.L. 2008, ch. 246, § 2; P.L. 2021, ch. 400, § 21, effective July 13, 2021; P.L. 2021, ch. 401, § 21, effective July 13, 2021.

Compiler's Notes.

P.L. 2021, ch. 400, § 21, and P.L. 2021, ch. 401, § 21 enacted identical amendments to this section.

5-74.1-7. Suspension, revocation, or refusal to renew registration.

  1. The secretary of state may suspend, revoke, or refuse to renew a registration for conduct that would have justified denial of registration under § 5-74.1-6(b) .
  2. The secretary of state may deny, suspend, revoke, or refuse to renew a certificate of registration or licensure only after proper notice and an opportunity for a hearing.

History of Section. P.L. 2008, ch. 246, § 2; P.L. 2019, ch. 308, art. 1, § 29.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-74.1-8. Temporary registration.

The secretary of state may issue a temporary certificate of registration while an application for registration or renewal of registration is pending.

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-9. Registration and renewal fees.

An application for registration or renewal of registration must be accompanied by a fee in the following amount:

  1. Fifty dollars ($50.00) for an initial application for registration;
  2. Fifty dollars ($50.00) for an application for registration based upon a certificate of registration or licensure issued by another state;
  3. Twenty-five dollars ($25.00) for an application for renewal of registration; or
  4. Twenty-five dollars ($25.00) for an application for renewal of registration based upon an application for renewal of registration or licensure submitted in another state.

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-10. Required form of contract.

  1. An agency contract must be in a record, signed or otherwise authenticated by the parties.
  2. An agency contract must state or contain:
    1. The amount and method of calculating the consideration to be paid by the student athlete for services to be provided by the athlete agent under the contract and any other consideration the athlete agent has received or will receive from any other source for entering into the contract or for providing the services;
    2. The name of any person not listed in the application for registration or renewal of registration who will be compensated because the student athlete signed the agency contract;
    3. A description of any expenses that the student athlete agrees to reimburse;
    4. A description of the services provided to the student athlete;
    5. The duration of the contract; and
    6. The date of execution.
  3. An agency contract must contain, in close proximity to the signature of the student athlete, a conspicuous notice in boldface type in capital letters stating:
  4. An agency contract that does not conform to this section is voidable by the student athlete. If a student athlete voids an agency contract, the student athlete is not required to pay any consideration under the contract or to return any consideration received from the athlete agent to induce the student athlete to enter into the contract.
  5. The athlete agent shall give a record of the signed or otherwise authenticated agency contract to the student athlete at the time of execution.

WARNING TO STUDENT ATHLETE: If you sign this contract: (1) You may lose your eligibility to compete as a student athlete in your sport; (2) If you have an athletic director, within seventy-two (72) hours after entering into this contract, both you and your athlete agent must notify your athletic director; and (3) You may cancel this contract within fourteen (14) days after signing it. Cancellation of this contract may not reinstate your eligibility.

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History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-11. Notice to educational institution.

  1. Within seventy-two (72) hours after entering into an oral or written agency contract or before the next scheduled athletic event in which the student athlete may participate, whichever occurs first, the athlete agent shall give notice in a record of the existence of the contract to the athletic director of the educational institution at which the student athlete is enrolled or the athlete agent has reasonable grounds to believe the student athlete intends to enroll.
  2. Within seventy-two (72) hours after entering into an oral or written agency contract or before the next athletic event in which the student athlete may participate, whichever occurs first, the student athlete shall inform the athletic director of the educational institution at which the student athlete is enrolled that he or she has entered into an agency contract.

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-12. Student athlete’s right to cancel.

  1. A student athlete may cancel an agency contract by giving notice of the cancellation to the athlete agent in a record within fourteen (14) days after the contract is signed.
  2. A student athlete may not waive the right to cancel an agency contract.
  3. If a student athlete cancels an agency contract, the student athlete is not required to pay any consideration under the contract, or to return any consideration received from the athlete agent to induce the student athlete to enter into the contract.

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-13. Required records.

  1. An athlete agent shall retain the following records for a period of five (5) years:
    1. The name and address of each individual represented by the athlete agent;
    2. Any agency contract entered into by the athlete agent; and
    3. Any direct costs incurred by the athlete agent in the recruitment or solicitation of a student athlete to enter into an agency contract.
  2. Records required by subsection (a) to be retained are open to inspection by the secretary of state during normal business hours.

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-14. Prohibited conduct.

  1. An athlete agent, with the intent to induce a student athlete to enter into an agency contract, may not:
    1. Give any materially false or misleading information or make a materially false promise or representation;
    2. Furnish anything of value to a student athlete before the student athlete enters into the agency contract; or
    3. Furnish anything of value to any individual other than the student athlete or another registered athlete agent.
  2. An athlete agent may not intentionally:
    1. Initiate contact with a student athlete unless registered under this chapter;
    2. Refuse or fail to retain or permit inspection of the records required to be retained by § 5-74.1-13 ;
    3. Fail to register when required by § 5-74.1-4 ;
    4. Provide materially false or misleading information in an application for registration or renewal of registration;
    5. Predate or postdate an agency contract; or
    6. Fail to notify a student athlete before the student athlete signs or otherwise authenticates an agency contract for a particular sport that the signing or authentication may make the student athlete ineligible to participate as a student athlete in that sport.

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-14.1. Permitted contacts with student athletes.

  1. An athlete agent may:
    1. Contact a student athlete only as provided in this chapter. In the event that the student athlete is a minor, the agent must initiate contact with the student athlete’s parents or legal guardians.
    2. Initiate contact only with those student athletes who have completed their collegiate eligibility (including post-season tournaments).
    3. Provide information to eligible student athletes only after having provided the same information to the athletic director of the institution where the student athlete is enrolled.
    4. Contact a student athlete who has not completed his or her collegiate eligibility only if the student athlete initiates the contact. In such instances, the athlete agent must give prior notice of his or her intention to respond to the request to the athletic director of the institution where the athlete is enrolled.
  2. Each institution of higher education in Rhode Island may sponsor athlete agent interviews on its campus where the athlete agent may discuss with the student athlete the provision of legal and financial services. The athlete agent must comply with any regulations established by the institutional committee prior to initiating any contact with the student athlete.

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-15. Criminal penalties.

An athlete agent who violates § 5-74.1-14 is guilty of a misdemeanor.

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-16. Civil remedies.

  1. An educational institution has a right of action against an athlete agent or a former student athlete for damages caused by a violation of this chapter. In an action under this section, the court may award to the prevailing party costs and reasonable attorney’s fees.
  2. Damages of an educational institution under subsection (a) include losses and expenses incurred because, as a result of the conduct of an athlete agent or former student athlete, the educational institution was injured by a violation of this chapter or was penalized, disqualified, or suspended from participation in athletics by a national association for the promotion and regulation of athletics, by an athletic conference, or by reasonable, self-imposed disciplinary action taken to mitigate sanctions likely to be imposed by such an organization.
  3. A right of action under this section does not accrue until the educational institution discovers, or by the exercise of reasonable diligence would have discovered, the violation by the athlete agent or former student athlete.
  4. Any liability of the athlete agent or the former student athlete under this section is several and not joint.
  5. This chapter does not restrict rights, remedies, or defenses of any person under law or equity.

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-17. Administrative penalty.

The secretary of state may assess a civil penalty against an athlete agent not to exceed twenty-five thousand dollars ($25,000) for a violation of this chapter.

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-18. [Reserved.]

History of Section. P.L. 2008, ch. 246, § 2.

5-74.1-19. Electronic Signatures in Global and National Commerce Act.

The provisions of this chapter governing the legal effect, validity, or enforceability of electronic records or signatures, and of contracts formed or performed with the use of such records or signatures conform to the requirements of section 102 of the Electronic Signatures in Global and National Commerce Act, Pub. L. No. 106-229, 114 Stat. 464 (2000), and supersede, modify, and limit the Electronic Signatures in Global and National Commerce Act.

History of Section. P.L. 2008, ch. 246, § 2.

Federal Act References.

Section 102 of the Electronic Signatures in Global and National Commerce Act, referred to in this section, is codified as 15 U.S.C. § 7002.

5-74.1-20. Severability.

If any provision of this chapter or its application to any person or circumstance is held invalid, the invalidity does not affect other provisions or applications of this chapter that can be given effect without the invalid provision or application, and to this end the provisions of this chapter are severable.

History of Section. P.L. 2008, ch. 246, § 2.

Chapter 75 Professional Employer Organizations Act of 2004

5-75-1. Legislative finding.

The legislature finds that:

  1. Professional employer organizations provide a valuable service to commerce and the citizens of this state by increasing the opportunities of employers to develop cost-effective methods of satisfying their personnel requirements and providing employees with access to certain employment benefits that might otherwise not be available to them;
  2. Professional employer organizations operating in this state should be properly recognized and regulated by the division of taxation, as provided in this chapter and § 44-30-71.4 ; and
  3. Any allocation of the employer duties and responsibilities pursuant to this chapter will preserve all rights to which covered employees would be entitled under a traditional employment relationship.

History of Section. P.L. 2004, ch. 87, § 1; P.L. 2004, ch. 124, § 1.

5-75-2. Definitions.

As used in this chapter:

  1. “Administrative fee” means the fee charged to a client by a professional employer organization for professional employer services. The administrative fee shall not be deemed to include any amount of a fee by the professional employer organization that is for wages and salaries, benefits, workers’ compensation, payroll taxes, withholding, or other assessments paid by the professional employer organization to, or on behalf of, covered employees under the professional employer agreement.
  2. “Client” means any person who enters into a professional employer agreement with a PEO.
  3. “Co-employer” means either a PEO or a client.
  4. “Co-employment relationship” shall mean:
    1. As between co-employers, a relationship whereby the rights, duties, and obligations of an employer that arise out of an employment relationship have been allocated between co-employers pursuant to a professional employer agreement and this chapter and that is intended to be an ongoing relationship, rather than a temporary or project-specific relationship;
    2. As between each PEO and a covered employee as to which a professional employer agreement applies, an employment relationship whereby such PEO is entitled to enforce those rights, and obligated to perform those duties and obligations, allocated to such PEO by the professional employer agreement and this chapter;
    3. As between each client and a covered employee to which a professional employer agreement applies, an employment relationship whereby such client is entitled to enforce those rights, and obligated to provide and perform those employer obligations allocated to such client by the professional employer agreement and this chapter, and whereby such client is responsible for any employer right or obligation not otherwise allocated by the professional employer agreement or this chapter; and
    4. As to rights enforceable by an employee under state law, covered employees shall be entitled to enforce against the PEO those rights: (i) Allocated to such PEO by the professional employer agreement and this chapter; or (ii) Shared by the PEO and the client under the professional employer agreement and this chapter. All other rights, duties, and obligations enforceable by an employee under the state shall continue to be enforceable against the client pursuant to state law.
  5. “Covered employee” means an individual having a co-employment relationship with a PEO and a client who meets all of the following criteria: (1) The individual has executed an employment agreement with the PEO; (2) The individual is a party to a co-employment relationship with a PEO and a client; and (3) The individual’s co-employment relationship is pursuant to a professional employer agreement subject to this chapter. Individuals who are officers, directors, shareholders, partners, and managers of the client will be covered employees to the extent the PEO and the client have expressly agreed in the professional employer agreement that such individuals would be covered employees and provided such individuals meet the criteria of this subsection and act as operational managers or perform services for the client.
  6. “Department” means the department of administration, division of taxation.
  7. “Director” means the tax administrator.
  8. “Person” means any individual, partnership, corporation, limited-liability company, association, or any other form of legally recognized entity.
  9. “Professional employer agreement” means a written contract by and between a client and a PEO that provides:
    1. For the co-employment of covered employees;
    2. For the allocation and sharing between the client and the PEO of employer responsibilities (including hiring, firing, and disciplining) with respect to the covered employees; and
    3. That the PEO and the client assume the responsibilities required by this chapter.
  10. “Professional employer organization” or “PEO” means any person engaged in the business of providing professional employer services. A person engaged in the business of providing professional employer services shall be subject to registration under this chapter regardless of its use of the term “professional employer organization,” “PEO,” “staff-leasing company,” “registered staff-leasing company,” “employee-leasing company,” or any other name.

    The following shall not be deemed to be professional employer organizations or professional employment services for purposes of this chapter:

    1. Arrangements wherein a person, whose principal business activity is not entering into professional employer arrangements and that does not hold itself out as a PEO, shares employees with a commonly owned company within the meaning of sections 414(b) and (c) of the Internal Revenue Code of 1986, as amended;
    2. Arrangements by which a person assumes responsibility for the product produced or service performed by the person or the person’s agents and retains and exercises primary direction and control over the work performed by the individuals whose services are supplied under such arrangements; or
    3. Providing temporary help services.
  11. “Professional employer services” shall mean the service of entering into co-employment relationships under this chapter in which all or a majority of the employees providing services to a client or to a division or work unit of the client are covered employees.
  12. “Registrant” means a PEO registered under this chapter.
  13. “Temporary help services” means a service consisting of a person:
    1. Recruiting and hiring its own employees;
    2. Finding other organizations that need the services of those employees;
    3. Assigning those employees to perform work at, or services for, the other organizations to support or supplement the other organizations’ workforces, or to provide assistance in special work situations such as, but not limited to, employee absences, skill shortages, seasonal workloads, or to perform special assignments or projects; and
    4. Customarily attempting to reassign the employees to other organizations when they finish each assignment.

History of Section. P.L. 2004, ch. 87, § 1; P.L. 2004, ch. 124, § 1.

5-75-3. Rights, duties, and obligations unaffected by this chapter.

  1. Collective bargaining agreements.  Nothing in this chapter or in any professional employer agreement shall affect, modify, or amend any collective bargaining agreement, or the rights or obligations of any client, PEO, or covered employee under the federal National Labor Relations Act, the federal Railway Labor Act, or the State of Rhode Island Labor Relations Act.
  2. Licensing.  Nothing contained in this chapter or any professional employer agreement shall affect, modify, or amend any state, local, or federal licensing, registration, or certification requirement applicable to any client or covered employee.
    1. A covered employee who must be licensed, registered, or certified according to law or regulation is deemed solely an employee of the client for purposes of any such license, registration, or certification requirement.
    2. A PEO shall not be deemed to engage in any occupation, trade, profession, or other activity that is subject to licensing, registration, or certification requirements, or is otherwise regulated by a governmental entity solely by entering into and maintaining a co-employment relationship with a covered employee who is subject to such requirements or regulations.
    3. Unless otherwise expressly agreed to by the client in the professional employer agreement, a client shall have the sole right to direct and control the professional or licensed activities of covered employees and of the client’s business.
  3. Tax credits and other incentives.  For purposes of determination of tax credits and other economic incentives provided by this state and based on employment, covered employees shall be deemed employees solely of the client. A client shall be entitled to the benefit of any tax credit, economic incentive, or other benefit arising as the result of the employment of covered employees of such client. If the grant or amount of any such incentives is based on number of employees, then each client shall be treated as employing only those covered employees actually working in the client’s business operations and covered employees working for other clients of the PEO shall not be counted. Each PEO will provide, upon request by a client or an agency or department of this state, employment information reasonably required by any agency or department of this state responsible for administration of the tax credit or economic incentive and necessary to support any request, claim, application, or other action by a client seeking the tax credit or economic incentive. To the extent the client is receiving the benefit, the PEO shall not be entitled to receive the benefit or incentive.
  4. Disadvantaged business.  With respect to a bid, contract, purchase order, or agreement entered into with the state or a political subdivision of the state, a client company’s status or certification as a small, minority-owned, disadvantaged, or woman-owned business enterprise or as an historically underutilized business is not affected because the client company has entered into an agreement with a registrant or uses the services of a registrant.

History of Section. P.L. 2004, ch. 87, § 1; P.L. 2004, ch. 124, § 1.

5-75-4. Registration requirements.

  1. Registration required.  Except as otherwise provided in this chapter, no person shall provide, advertise, or otherwise hold itself out as providing professional employer services in this state, unless the person is registered under this chapter and in conformance with the requirements of § 44-30-71.4 .
  2. Registration information.  Each applicant for registration under this chapter shall provide the division of taxation with the following information:
    1. The name or names under which the PEO conducts business;
    2. The address of the principal place of business of the PEO and the address of each office it maintains in this state;
    3. The PEO’s taxpayer or employer identification number;
    4. A list by jurisdiction of each name under which the PEO has operated in the preceding five (5) years, including any alternative names, names of predecessors, and, if known, successor business entities;
    5. A statement of ownership, which shall include the name and evidence of the business experience of any person that, individually or acting in concert with one or more other persons, owns or controls, directly or indirectly, twenty-five percent (25%) or more of the equity interests of the PEO;
    6. A statement of management, which shall include the name and evidence of the business experience of any person who serves as president, chief executive officer, or otherwise has the authority to act as senior executive officer of the PEO; and
    7. A list of clients, including client name, physical address, telephone number, and federal identification number.
  3. Initial Registration.
    1. Each PEO operating within this state as of the effective date of this chapter shall complete its initial registration not later than one hundred eighty (180) days after the effective date of this chapter. The initial registration shall be valid through the subsequent July 31 of the registration year.
    2. Each PEO not operating within this state as of the effective date of this chapter shall complete its initial registration prior to commencement of operations within this state.
  4. Renewal.  On August 1st of each subsequent year, the registrant shall renew its registration by notifying the division of taxation of any changes in the information provided in the registrant’s most recent registration or renewal that shall be effective for an annual term from August 1 through July 31 of the subsequent year.
  5. Group registration.  Any two or more PEOs held under common control of any other person or persons acting in concert may be registered as a PEO group. A PEO group may satisfy any reporting and financial requirements of this registration law on a consolidated basis.
  6. Alternative Registration.  The division of taxation may, by rule and regulation, provide for the acceptance of an affidavit or certification of a bonded, independent, and qualified assurance organization that has been approved by the department certifying qualifications of a professional employer organization in lieu of the requirements of § 5-75-6 .
  7. List.  The state tax administrator shall maintain a list of professional employer organizations registered under this chapter.
  8. Forms.  The state tax administrator may prescribe forms necessary to promote the efficient administration of this section.
  9. Record confidentiality.  All records, reports, and other information obtained from a PEO under this chapter, except to the extent necessary for the proper administration of this chapter by the state tax administrator, shall be confidential and shall not be published or open to public inspection other than to public employees in the performance of their public duties.
  10. Limited registration.
    1. A PEO is eligible for a limited registration under this chapter if the PEO:
      1. Submits a properly executed request for limited registration on a form provided by the department;
      2. Is domiciled outside this state and is licensed or registered as a PEO in another state;
      3. Does not maintain an office in this state or directly solicit clients located or domiciled within this state; and
      4. Does not have more than fifty (50) covered employees employed or domiciled in this state on any given day. (2) A limited registration is valid for one year, and may be renewed. (3) A PEO seeking limited registration under this section shall provide the department with information and documentation necessary to show that the PEO qualifies for a limited registration. (4) Section 5-75-6 shall not apply to applicants for limited registrations.

History of Section. P.L. 2004, ch. 87, § 1; P.L. 2004, ch. 124, § 1; P.L. 2006, ch. 215, § 1.

5-75-5. Fees.

  1. Initial registration.  Upon filing an initial registration statement under this chapter, a PEO shall pay an annual initial registration fee not to exceed five hundred dollars ($500). The fee shall be prorated based upon an expiration date of July 31.
  2. Renewal.  Upon each annual renewal of a registration statement filed under this chapter, a PEO shall pay a renewal fee not to exceed two hundred fifty dollars ($250).
  3. Limited registration.  Each PEO seeking limited registration under the terms of this chapter, shall pay a fee in the amount not to exceed two hundred fifty dollars ($250) upon initial application for limited registration and upon each annual renewal of the limited registration.
  4. Alternative registration.  A PEO seeking alternative registration shall pay an initial and annual fee not to exceed two hundred fifty dollars ($250), the fee to be prorated based upon an expiration date of July 31.
  5. The state tax administrator shall determine, by rule, any other fee to be charged under this chapter. The fees shall not exceed those reasonably necessary for the administration of the registration chapter. The fees shall not exceed those reasonably necessary for the administration of the registration process.

History of Section. P.L. 2004, ch. 87, § 1; P.L. 2004, ch. 124, § 1.

5-75-6. Financial capability — Net worth and bonding.

Each PEO shall maintain a bond or securities with a minimum market value of fifty thousand dollars ($50,000) held by a depository designated by the department securing payment by the PEO of all taxes, wages, benefits, or other entitlement due to, or with respect to, covered employees if the PEO does not make such payments when due. A PEO registered under this chapter and certified by the division of taxation for at least two (2) years shall be exempt from the bonding requirements of this section.

History of Section. P.L. 2004, ch. 87, § 1; P.L. 2004, ch. 124, § 1.

5-75-7. General requirements and provisions.

  1. Contractual relationship.  Except as specifically provided in this chapter, the co-employment relationship between the client and the PEO, and between each co-employer and each covered employee, shall be governed by the professional employer agreement.
    1. Nothing contained in any professional employer agreement or this chapter shall be deemed to:
      1. Diminish, abolish, or remove rights of covered employees as to clients or obligations of the client as to a covered employee, existing prior to the effective date of a professional employer agreement.
      2. Terminate an employment relationship existing prior to the effective date of a professional employer agreement.
      3. Create any new or additional enforceable right of a covered employee against a PEO not specifically allocated to such PEO in the professional employer agreement or this chapter.
      4. Terminate the joint-and-several-liability provision under § 44-30-71.4 , or the protections afforded the client of a PEO in possession of a current certification/authorization to engage in business issued by the division of taxation and without notification that the certification has been suspended or revoked.
      5. The responsibility to obtain workers’ compensation coverage for covered employees, from a carrier licensed to do business in this state and otherwise in compliance with all applicable requirements, shall be specifically allocated to either the client or the PEO in the professional employer agreement.
    2. Each professional employer agreement shall include the following: (i) The PEO shall reserve a right of direction and control over the covered employees; provided, that the client may retain the right to exercise such direction and control over covered employees as is necessary to conduct the client’s business, to discharge any fiduciary responsibility it may have, or to comply with any applicable licensure requirements; (ii) The PEO shall have responsibility to pay wages to covered employees; to withhold, collect, report, and remit payroll-related and unemployment taxes; and, to the extent the PEO has assumed responsibility in the professional employer agreement, to make payments for employee benefits for covered employees. As used in this section, the term “wages” does not include any obligation between a client and a covered employee for payments beyond or in addition to the covered employee’s salary, draw, or regular rate of pay, such as bonuses, commissions, severance pay, deferred compensation, profit sharing, or vacation, sick, or other paid time-off pay, unless the PEO has expressly agreed to assume liability for such payments in the professional employer agreement; (iii) The PEO shall have the responsibility to withhold, collect, report, and remit payroll-related and unemployment taxes. For purposes of chapters 39 — 41 (Rhode Island Temporary Disability Insurance Act) and chapters 42 — 44 (Employment Security Act) of title 28, and this section, the term “wages” shall be defined in accordance with § 28-42-3(29) ; (iv) The PEO and the client shall both have a right to hire, terminate, and discipline the covered employees; and
  2. Allocation of rights, duties, and obligations.  Except as specifically provided in this chapter or in the professional employer agreement, in each co-employment relationship:
    1. The client shall be entitled to exercise all rights, and shall be obligated to perform all duties and responsibilities, otherwise applicable to an employer in an employment relationship; and
    2. The PEO shall be entitled to exercise only those rights, and obligated to perform only those duties and responsibilities, specifically required by this chapter or set forth PEO as co-employer with respect to any covered employee shall be limited to those arising pursuant to the professional employer agreement and this chapter during the term of co-employment by the PEO of such covered employee.
    3. Unless otherwise expressly agreed by the PEO and the client in a professional employer agreement, the client retains the exclusive right to direct and control the covered employees as is necessary to conduct the client’s business; to discharge any of the client’s fiduciary responsibilities; or to comply with any licensure requirements applicable to the client or to the covered employees.
  3. Notice to covered employees.  With respect to each professional employer agreement entered into by a PEO, the PEO shall provide written notice to each covered employee affected by the agreement of the general nature of the co-employment relationship between and among the PEO, the client, and the covered employee. The notice shall include notice to employees of the client’s and the PEO’s obligations under section 7(D)(4) below.
  4. Limitations on liability.  Except to the extent otherwise expressly provided by the applicable professional employer agreement:
    1. A client shall be solely responsible for the quality, adequacy, or safety of the goods or services produced or sold in the client’s business.
    2. A client shall be solely responsible for directing, supervising, training, and controlling the work of the covered employees with respect to the business activities of the client and solely responsible for the acts, errors, or omissions of the covered employees with regard to such activities.
    3. A client shall not be liable for the acts, errors, or omissions of a PEO, or of any covered employee of the client and a PEO, when the covered employee is acting under the express direction and control of the PEO.
    4. Nothing in this subsection (d) shall serve to limit any contractual liability or obligation specifically provided in a professional employer agreement, nor shall this subsection (d) in any way limit the liabilities and obligations of any PEO or client as defined elsewhere in this chapter.
    5. A covered employee is not, solely as the result of being a covered employee of a PEO, an employee of the PEO for purposes of general liability insurance, fidelity bonds, surety bonds, employer’s liability that is not covered by workers’ compensation, or liquor-liability insurance carried by the PEO unless the covered employees are included by specific reference in the professional employer agreement and applicable prearranged employment contract, insurance contract, or bond.
  5. Services not insured.  A registrant under this chapter is not engaged in the sale of insurance by offering, marketing, selling, administering, or providing PEO services or employee benefit plans for covered employees.
  6. Taxation.
    1. Covered employees whose services are subject to sales tax shall be deemed employees of the client for purposes of collecting and levying sales tax on the services performed by the covered employee. Nothing contained in this chapter shall relieve a client of any sales tax liability with respect to its goods or services.
    2. Any tax upon professional employer services shall be limited to the administrative fee.
    3. Any tax assessed on a per-capita or per-employee basis shall be assessed against the client for covered employees and against the professional employer organization for its employees who are not covered employees co-employed with a client.
    4. In the case of tax imposed or calculated upon the basis of total payroll, the professional employer organization shall be eligible to apply any small business allowance or exemption available to the client for the covered employees for purpose of computing the tax.

History of Section. P.L. 2004, ch. 87, § 1; P.L. 2004, ch. 124, § 1.

Compiler’s Notes.

The reference in this section to subdivision 28-42-3(28) was changed to 28-42-3(29) as a result of the 2014 amendment to that section.

5-75-8. Benefit plans.

  1. A client and a PEO shall each be deemed an employer for purposes of sponsoring retirement and welfare benefit plans for its covered employees.
  2. A fully-insured welfare benefit plan offered to the covered employees of a single PEO shall be considered a single-employer welfare benefit plan.
  3. For purposes of determining employer status under chapter 50 of title 27 (entitled the Rhode Island Small Employer Health Insurance Availability Act), a PEO shall be considered the employer of all of its covered employees and all covered employees of one or more clients participating in a health benefit plan sponsored by a single PEO shall be considered employees of the PEO.
  4. If a PEO offers to its covered employees any health benefit plan that is not fully-insured by an authorized insurer, the plan shall:
    1. Utilize a third-party administrator licensed to do business in this state;
    2. Hold all plan assets, including participant contributions, in a trust account; and
    3. Provide sound reserves for such plan as determined using generally accepted actuarial standards.

History of Section. P.L. 2004, ch. 87, § 1; P.L. 2004, ch. 124, § 1.

5-75-9. Workers’ compensation.

  1. The responsibility to obtain workers’ compensation coverage for covered employees, from a carrier licensed to do business in this state and otherwise in compliance with all applicable requirements, shall be specifically allocated in the professional employer agreement to either the client or the PEO. If the responsibility is allocated to the PEO under the agreement, the agreement shall require that the PEO maintain and provide to the client, at the termination of the agreement if requested by the client, records regarding the loss experience related to workers’ compensation insurance provided to covered employees pursuant to the agreement. A certificate of insurance as proof of workers’ compensation coverage shall be issued to the client if the PEO is to provide coverage or to the PEO if the client is to provide coverage with notification of cancellation to be issued immediately to either entity. In the case of cancellation, the other entity must immediately obtain coverage.
  2. Workers’ compensation.  Both the client and the PEO shall be considered the employer for the purpose of coverage under the workers’ compensation act and both the PEO and its client shall be entitled to protection of the exclusive remedy provision of the workers’ compensation act irrespective of which co-employer obtains such workers’ compensation coverage.

History of Section. P.L. 2004, ch. 87, § 1; P.L. 2004, ch. 124, § 1; P.L. 2006, ch. 215, § 1.

5-75-10. Unemployment compensation insurance.

  1. For purposes of chapters 39 — 41 (Rhode Island Temporary Disability Insurance Act) and chapters 42 — 44 (Employment Security Act) of title 28 only, the client company shall be considered to be an employer of its covered employees under any agreement with a professional employer organization established under this chapter; provided, that the professional employer organization shall report and pay all required unemployment contributions using the client company’s state employer account number at the client company’s experience rate as determined under § 28-43-8 , or at the new employer rate established under § 28-43-8 .3 if the client company does not qualify for an experience rate under § 28-43-8.
  2. The client company and PEO shall be jointly and severally liable for all contributions, fines, interest, penalties, and withholdings due to the department of labor and training under chapters 39 — 44 of title 28.

History of Section. P.L. 2004, ch. 87, § 1; P.L. 2004, ch. 124, § 1.

5-75-11. Severability.

The provisions of this chapter are severable. If any provision of this chapter, or application thereof to any person or circumstance, is held invalid, such invalidity shall not affect other provisions or applications of this chapter that can be given effect without the invalid provision or application.

History of Section. P.L. 2004, ch. 87, § 1; P.L. 2004, ch. 124, § 1.

Chapter 76 Issuance of License upon Payment of Taxes

5-76-1. Declaration of purpose.

It is found that in order to assure the effective and efficient administration of the tax laws of the State of Rhode Island, it is essential that the state collect taxes owed it in a timely manner. Failure to collect delinquent taxes is detrimental to the health and safety of the citizens of this state.

History of Section. P.L. 2004, ch. 595, art. 39, § 1.

5-76-2. Application for license to conduct business upon certification of taxes paid.

  1. Any person applying to any department, board, commission, division, authority, or other agency of this state for any license or other authority to conduct a profession, trade, or business, shall certify upon such application, under penalties of perjury, that such person has filed all required tax returns and paid all taxes due the state from the person or, if unpaid, is pursuing administrative or appellate review of such taxes. Such license shall not be issued unless such certification is made.
  2. “Person” shall mean and include any individual, corporation, limited-liability company, partnership, association, joint venture, or other entity.
  3. “License” shall mean any license or other certificate of authority, including the periodic registration of attorneys, required to conduct a profession, trade, or business in this state.
  4. For purposes of this chapter, “authority” shall also refer to the Rhode Island Supreme Court relating to the periodic registration of attorneys.

History of Section. P.L. 2004, ch. 595, art. 39, § 1.

5-76-3. Information to be furnished to the tax administrator.

Every department, board, commission, division, authority, or other agency of this state that issues or renews a license or other authority to conduct a profession, trade, or business shall annually, ninety (90) days prior to the renewal date of any license or on June 30 if such licenses are issued intermittently, furnish to the tax administrator, in such form as the tax administrator may determine, a list containing the following information for all licensees:

  1. Name;
  2. Address;
  3. Federal identification number and/or social security number;
  4. Type of license issued;
  5. Effective date of initial license;
  6. Expiration date of license; and
  7. Status of license (active/inactive).

    Unless otherwise required by law, no department, board, commission, authority, or other agency shall maintain, use, or disclose, for any other purpose, the social security information obtained pursuant to this section.

History of Section. P.L. 2004, ch. 595, art. 39, § 1.

5-76-4. Notice of intent to inform agency.

  1. If the tax administrator determines from the information furnished pursuant to § 5-76-3 , or otherwise, that any person who holds a license issued by any agency has neglected or refused to file any tax returns or to pay any tax administered by the tax administrator and that such tax matter is not pending administrative or appellate review, the tax administrator shall send a written notice to such person informing the person of the tax administrator’s intention to request such agency or authority not to renew such license upon expiration thereof.
  2. Within twenty-one (21) days from the date of such notice, the licensee may request in writing a conference with the tax administrator or his/her designee, in order to show proof of payment of all taxes or for the purpose of entering into a time-payment agreement for the delinquent taxes that is satisfactory to the tax administrator.
  3. If upon the expiration of twenty-one (21) days from the date of the notice to the licensee, or, if a conference has been requested, after a conference has been held, the licensee has not demonstrated to the satisfaction of the tax administrator that the licensee has filed all required returns and paid all required taxes, or that the licensee has not entered into a time-payment arrangement satisfactory to the tax administrator, the tax administrator shall notify the agency or authority in writing that the licensee is delinquent in filing tax returns and/or remitting taxes due. The tax administrator shall send a copy of the notification to the licensee.

History of Section. P.L. 2004, ch. 595, art. 39, § 1; P.L. 2006, ch. 246, art. 20, § 1.

5-76-5. Action by agency regarding renewal of license.

  1. Notwithstanding any other provision of any general law, if after opportunity for conference pursuant to § 5-76-4(b) , an agency or authority has been notified by the tax administrator that a licensee is delinquent in filing returns and/or remitting taxes due, the agency or authority shall, after notice and opportunity for hearing, refuse to re-issue, renew, or extend the license until the agency or authority receives a certificate issued by the tax administrator that the person is in good standing or has entered into a satisfactory time-payment agreement with respect to any and all returns due and taxes payable to the tax administrator as of the date of issuance of said certificate. That notification of delinquent tax status shall constitute grounds to refuse to re-issue, renew, extend, or deny any license issued under any title of the general laws.
  2. If a licensee thereafter files an overdue return and/or remits past taxes due or enters into a satisfactory time-payment agreement with respect to any and all returns due and taxes payable, the tax administrator shall, within five (5) business days of a licensee’s request, provide the appropriate agency or authority the certificate of good standing specified in this section. Within five (5) business days of receiving such a certificate, the agency or authority shall reinstate, reissue, renew, or otherwise extend the licensee’s license.

History of Section. P.L. 2004, ch. 595, art. 39, § 1.

5-76-6. Payment of tax not an admission.

If the licensee files an overdue return and/or remits past due taxes in order to apply for or renew a license, the late filing and/or payment shall not be an admission of a violation of any criminal tax statute regarding late filing and/or late payment. The tax administrator shall not refer the person to the attorney general for prosecution based solely upon said late filing and/or payment of past-due taxes.

History of Section. P.L. 2004, ch. 595, art. 39, § 1.

5-76-7. Provisions not applicable.

The provisions of this chapter shall not apply to the certification of liquor license renewal governed by § 3-7-24 , as amended, or the certification of employee leasing and payroll companies governed by § 44-30-71.4 , as amended.

History of Section. P.L. 2004, ch. 595, art. 39, § 1.

5-76-8. Severability.

If any provision of this chapter or the application thereof shall for any reason be judged invalid, that judgment shall not affect, impair, or invalidate the remainder of the law, but shall be confined in its effect to the provision or application directly involved in the controversy giving rise to the judgment.

History of Section. P.L. 2004, ch. 595, art. 39, § 1.

Chapter 77 Town of Burrillville — Insurance Requirements

5-77-1. Town of Burrillville — Insurance requirements.

In the town of Burrillville, any establishment that applies to the Burrillville Town Council for a license under this chapter shall file with the application a certificate of insurance evidencing comprehensive, general-liability coverage in the minimum amount of three hundred thousand dollars ($300,000) for bodily or personal injury and one hundred thousand dollars ($100,000) for property damage; or for a minimum amount to be set by ordinance. The certificate shall provide that the insurance shall not be modified or cancelled unless thirty (30) days’ prior notice is given to the town of Burrillville and that the town of Burrillville is named as an additional insured. A licensee must be insured by a carrier licensed in this state.

History of Section. P.L. 2005, ch. 357, § 1; P.L. 2005, ch. 421, § 1.

Chapter 78 Dating Services

5-78-1. Definitions.

As used in this chapter:

  1. “Buyer” means any person entering into a social referral services contract with a seller.
  2. “Person” means a natural person, partnership, corporation, association, or any other legal entity.
  3. “Seller” means any person offering social referral services.
  4. “Social referral services” means dating, matrimonial, or personal referral services by any of the following means:
    1. An exchange of names, telephone numbers, addresses, and statistics;
    2. A photograph or video selection process;
    3. Personal introductions provided by the seller at the seller’s place of business; or
    4. A social environment provided by the seller intended primarily as an alternative to singles’ bars or club-type environments.

History of Section. P.L. 2006, ch. 116, § 1; P.L. 2006, ch. 137, § 1; P.L. 2019, ch. 308, art. 1, § 30.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-78-2. Contract requirements.

  1. Each contract for social referral services shall provide that such contract may be cancelled at any time up until midnight of the third (3rd) business day after the date of receipt by the buyer of a copy of the written contract, by written notice, delivered by certified or registered United States mail to the seller at an address that shall be specified in the contract.
    1. In every contract for social referral services, the seller shall furnish to the buyer a fully completed copy of the contract at the time of its execution, which shows the date of the transaction and contains the name and address of the seller, and in the immediate proximity to the space reserved in the contract for the signature of the buyer and in not less than ten-point (10) boldface type, a statement in substantially the following form:
    2. At the time the buyer signs the social referral services contract, a statement captioned “Notice of Cancellation” shall be contained in the contract and shall contain, in not less than ten-point (10) boldface type, the following information and statements:
    3. All moneys paid pursuant to any contract for social referral services shall be refunded within ten (10) business days of receipt of the notice of cancellation.
  2. The consumer’s right of rescission shall not be waived, sold, or abrogated in any way or manner.

“You, the buyer, may cancel this contract at any time prior to midnight of the third business day after your receipt of this contract. See the attached notice of cancellation for an explanation of this right.”

Click to view

“Notice of Cancellation” “ (Date of Transaction) You may cancel this contract, without any penalty or obligation, at any time prior to midnight of the third business day after your receipt of this contract by mailing this signed and dated notice of cancellation by certified or registered United States mail to the seller at the following address: . If you cancel, any payments made by you under the contract will be returned within ten (10) business days following receipt by the seller of your cancellation notice.”

Click to view

History of Section. P.L. 2006, ch. 116, § 1; P.L. 2006, ch. 137, § 1.

5-78-3. Unfair trade practice.

Any violation of any provision of § 5-78-2 shall be deemed an unfair or deceptive trade practice under chapter 13.1 of title 6.

History of Section. P.L. 2006, ch. 116, § 1; P.L. 2006, ch. 137, § 1.

Chapter 79 Mortgage Foreclosure Consultant Regulation

5-79-1. Definitions.

As used in this chapter:

  1. “Contract” means any agreement, or any term in any agreement, between a foreclosure consultant and an owner for the rendition of any services as defined in subsection (8).
  2. “Foreclosure consultant” means any person who, directly or indirectly, makes any solicitation, representation, or offer to any owner to perform for compensation or who, for compensation, performs any service that the person in any manner represents will in any manner do any of the following:
    1. Stop or postpone the foreclosure sale;
    2. Obtain any forbearance from any beneficiary or mortgagee;
    3. Assist the owner to exercise the right of redemption provided in § 34-23-2 ;
    4. Obtain any extension of the period within which the owner may reinstate the owner’s obligation;
    5. Obtain any waiver of an acceleration clause contained in any promissory note or contract secured by a mortgage on a residence in foreclosure or contained in the mortgage;
    6. Assist the owner in foreclosure or loan default to obtain a loan or advance of funds;
    7. Avoid or ameliorate the impairment of the owner’s credit resulting from the recording of a notice of default or the conduct of a foreclosure sale; or
    8. Save the owner’s residence from foreclosure.
  3. A foreclosure consultant does not include any of the following:
    1. A person licensed to practice law in this state when the person renders service in the course of his or her practice as an attorney-at-law;
    2. A person licensed as a credit counselor under chapter 19-14.7 when the person is acting as a credit counselor in accordance with the chapter;
    3. A person licensed as a real estate broker or salesperson under chapter 20.5 of this title when the person engages in acts whose performance requires licensure under that chapter;
    4. A person licensed as an accountant under chapter 3.1 of this title when the person is acting in any capacity for which the person is licensed under those provisions;
    5. A person or the person’s authorized agent acting under the express authority or written approval of the department of housing and urban development or other department or agency of the United States or this state to provide services;
    6. A person who holds or is owed an obligation secured by a lien on any residence in foreclosure when the person performs services in connection with this obligation or lien and the obligation or lien did not arise as the result of or as part of a proposed foreclosure reconveyance;
    7. Any person or entity doing business under any law of this state or of the United States relating to banks, trust companies, savings and loan associations, industrial loan and thrift companies, regulated lenders, credit unions, insurance companies, or a mortgagee that is a United States Department of Housing and Urban Development approved mortgagee and any subsidiary or affiliate of these persons or entities, and any agent or employee of these persons or entities while engaged in the business of these persons or entities;
    8. A person licensed as a residential mortgage originator or servicer pursuant to chapter 14 of title 19, when acting under the authority of that license or a foreclosure purchaser as defined in § 5-79-10;
    9. A nonprofit agency or organization that offers counseling or advice to an owner of a home in foreclosure or loan default if they do not contract for services with for-profit lenders or foreclosure purchasers; and
    10. A judgment creditor of the owner, to the extent that the judgment creditor’s claim accrued prior to the personal service of the foreclosure notice required by § 34-27-4 , but excluding a person who purchased the claim after such personal service.
  4. “Foreclosure reconveyance” means a transaction involving:
    1. The transfer of title to real property by a foreclosed homeowner during a foreclosure proceeding, either by transfer of interest from the foreclosed homeowner or by creation of a mortgage or lien or encumbrance during the foreclosure process that allows the acquirer to obtain title to the property by redeeming the property as a junior lienholder; and
    2. The subsequent conveyance, or promise of a subsequent conveyance, of an interest back to the foreclosed homeowner by the acquirer or a person acting in participation with the acquirer that allows the foreclosed homeowner to possess the real property following the completion of the foreclosure proceeding, which interest includes, but is not limited to, an interest in a contract for deed, purchase agreement, option to purchase, or lease.
  5. “Owner” means the record owner of the residential real property in foreclosure at the time the notice of pendency was recorded, or the summons and complaint served.
  6. “Person” means any individual, partnership, corporation, limited-liability company, association, or other group, however organized.
  7. “Residence in foreclosure” means residential real property consisting of one to four (4) family dwelling units, one of which the owner occupies as his or her principal place of residence, and against which there is an outstanding notice of pendency of foreclosure, pursuant to § 34-27-4 , or against which a summons and complaint has been served under § 34-27-1 .
  8. “Service” means and includes, but is not limited to, any of the following activities:
    1. Debt, budget, or financial counseling of any type;
    2. Receiving money for the purpose of distributing it to creditors in payment or partial payment of any obligation secured by a lien on a residence in foreclosure;
    3. Contacting creditors on behalf of an owner of a residence in foreclosure;
    4. Arranging or attempting to arrange for an extension of the period within which the owner of a residence in foreclosure may cure the owner’s default and reinstate his or her obligation pursuant to § 34-23-3 ;
    5. Arranging or attempting to arrange for any delay or postponements of the time of sale of the residence in foreclosure;
    6. Advising the filing of any document or assisting in any manner in the preparation of any document for filing with any bankruptcy court; or
    7. Giving any advice, explanation, or instruction to an owner of a residence in foreclosure, that in any manner relates to the cure of a default in, or the reinstatement of, an obligation secured by a lien of the residence in foreclosure, the full satisfaction of that obligation, or the postponement or avoidance of a sale of a residence in foreclosure, pursuant to a power of sale contained in any mortgage.

History of Section. P.L. 2006, ch. 242, § 1; P.L. 2006, ch. 287, § 1; P.L. 2009, ch. 310, § 44.

NOTES TO DECISIONS

Foreclosure Consultant.

There was nothing in the record that would justify a holding that an attorney was a mortgage foreclosure consultant as that term was defined in R.I. Gen. Laws § 5-79-1 , as the attorney never made a solicitation, representation, or offer to help a homeowner stop or postpone the foreclosure sale or save the homeowner’s residence from foreclosure. Rather, the attorney represented that the attorney would step into the shoes of the purchaser and become the grantee/purchaser at the closing. Holden v. Salvadore, 964 A.2d 508, 2009 R.I. LEXIS 14 (R.I. 2009).

5-79-2. Rescission of foreclosure consultant contract.

  1. In addition to any other right under law to rescind a contract, an owner has the right to cancel such a contract until midnight of the third (3rd) business day after the day on which the owner signs a contract that complies with § 5-79-3 .
  2. Cancellation occurs when the owner gives written notice of cancellation to the foreclosure consultant at the address specified in the contract.
  3. Notice of cancellation, if given by mail, is effective when deposited in the mail properly addressed with postage prepaid.
  4. Notice of cancellation given by the owner need not take the particular form as provided with the contract and, however expressed, is effective if it indicates the intention of the owner not to be bound by the contract.

History of Section. P.L. 2006, ch. 242, § 1; P.L. 2006, ch. 287, § 1.

5-79-3. Contract.

  1. Every contract must be in writing and must fully disclose the exact nature of the foreclosure consultant’s services and the total amount and terms of compensation.
  2. The following notice, printed in at least fourteen (14) point boldface type and completed with the name of the foreclosure consultant, must be printed immediately above the statement required by subsection (c):
  3. The contract must be written in the same language as principally used by the foreclosure consultant to describe his or her services or to negotiate the contract, must be dated and signed by the owner, and must contain in immediate proximity to the space reserved for the owner’s signature a conspicuous statement in a size equal to at least ten-point (10) boldface type, as follows:

    “You, the owner, may cancel this transaction at any time prior to midnight of the third (3rd) business day after the date of this transaction. See the attached notice of cancellation form for an explanation of this right.”

  4. The contract must contain on the first (1st) page, in a type size no smaller than that generally used in the body of the document, each of the following:
    1. The name and address of the foreclosure consultant to which the notice of cancellation is to be mailed; and
    2. The date the owner signed the contract.
  5. The contract must be accompanied by a completed form in duplicate, captioned “notice of cancellation,” which must be attached to the contract, must be easily detachable, and must contain in at least ten-point (10) type the following statement written in the same language as used in the contract:
  6. The foreclosure consultant shall provide the owner with a copy of the contract and the attached notice of cancellation immediately upon execution of the contract.
  7. The three (3) business days during which the owner may cancel the contract shall not begin to run until the foreclosure consultant has complied with this section.

“NOTICE REQUIRED BY RHODE ISLAND LAW (Name or anyone working for him or her CANNOT): (1) Take any money from you or ask you for money until (Name) has completely finished doing everything he or she said he or she would do; and (2) Ask you to sign or have you sign any lien, mortgage or deed.”

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“NOTICE OF CANCELLATION (Enter date of transaction) You may cancel this transaction, without any penalty or obligation, until midnight of the third (3rd) business day from the above date. To cancel this transaction, mail or deliver a signed and dated copy of this cancellation notice, or any other written notice to (Name of foreclosure consultant) at (Address of foreclosure consultant’s place of business) NOT LATER THAN MIDNIGHT OF (Date) I hereby cancel this transaction (Date) (Owner’s signature)”

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History of Section. P.L. 2006, ch. 242, § 1; P.L. 2006, ch. 287, § 1.

5-79-4. Violations.

It is a violation for a foreclosure consultant to:

  1. Claim, demand, charge, collect, or receive any compensation until after the foreclosure consultant has fully performed each and every service the foreclosure consultant contracted to perform or represented he or she would perform;
  2. Claim, demand, charge, collect, or receive any fee, interest, or any other compensation for any reason that exceeds eight percent (8%) per annum of the amount of any loan that the foreclosure consultant may make to the owner;
  3. Take any wage assignment, any lien on any type of real or personal property, or other security to secure the payment of compensation. Any such security is void and unenforceable;
  4. Receive any consideration from any third-party in connection with services rendered to an owner unless the consideration is first fully disclosed to the owner;
  5. Acquire any interest, directly or indirectly, or by means of a subsidiary or affiliate, in a residence in foreclosure from an owner with whom the foreclosure consultant has contracted;
  6. Take any power of attorney from an owner for any purpose, except to inspect documents as provided by law; or
  7. Induce or attempt to induce any owner to enter a contract that does not comply in all respects with § 5-79-3 .

History of Section. P.L. 2006, ch. 242, § 1; P.L. 2006, ch. 287, § 1.

5-79-5. Waiver not allowed.

Any waiver by an owner of the provisions of §§ 5-79-1 5-79-9 is void and unenforceable as contrary to public policy. Any attempt by a foreclosure consultant to induce an owner to waive the owner’s rights is a violation of §§ 5-79-1 5-79-9 .

History of Section. P.L. 2006, ch. 242, § 1; P.L. 2006, ch. 287, § 1.

5-79-6. Remedies.

  1. Any violation of §§ 5-79-1 5-79-9 is considered to be a violation of § 6-13.1-2 , and all remedies of § 6-13.1-5.2 are available for such an action. A private cause of action under § 6-13.1-5.2 by a foreclosed homeowner is in the public interest. An owner may bring an action against a foreclosure consultant for any violation of §§ 5-79-1 5-79-9 . Any judgment against the mortgage foreclosure consultant shall include actual damages, reasonable attorney’s fees and costs, and appropriate equitable relief.
  2. The court may award punitive damages up to one and one half (11/2) times the compensation charged by the foreclosure consultant if the court finds that the foreclosure consultant violated the provisions of § 5-79-4(1) , (2), or (4), and the foreclosure consultant’s conduct was in bad faith.
  3. The rights and remedies provided in subsection (a) are cumulative to, and not a limitation of, any other rights and remedies provided by law.
  4. Any action brought pursuant to this section must be commenced within four (4) years from the date of the alleged violation.
  5. Notwithstanding any other provision of this section, no action may be brought on the basis of a violation of §§ 5-79-1 5-79-9 , except by an owner against whom the violation was committed or by the department of attorney general.

History of Section. P.L. 2006, ch. 242, § 1; P.L. 2006, ch. 287, § 1; P.L. 2007, ch. 340, § 3.

5-79-7. Penalty.

Any person who commits any violation described in § 5-79-4 may, upon conviction, be fined not more than ten thousand dollars ($10,000) or imprisoned for not more than one year, or both. Prosecution or conviction for any violation described in § 5-79-4 will not bar prosecution or conviction for any other offenses. These penalties are cumulative to any other remedies or penalties provided by law.

History of Section. P.L. 2006, ch. 242, § 1; P.L. 2006, ch. 287, § 1.

5-79-8. Provisions severable.

If any provision of §§ 5-79-1 5-79-9 or the application of any of these provisions to any person or circumstance is held to be unconstitutional and void, the remainder of §§ 5-79-1 5-79-9 remains valid.

History of Section. P.L. 2006, ch. 242, § 1; P.L. 2006, ch. 287, § 1.

5-79-9. Liability.

Any provision in a contract that attempts or purports to require arbitration of any dispute arising under §§ 5-79-1 5-79-9 is void at the option of the owner.

History of Section. P.L. 2006, ch. 242, § 1; P.L. 2006, ch. 287, § 1.

Chapter 80 Mortgage Foreclosure Purchasers

5-80-1. Definitions.

As used for §§ 5-80-1 5-80-9 :

  1. “Foreclosed homeowner” means an owner of residential real property, including a condominium, that is the primary residence of the owner and whose mortgage on the real property is or was in foreclosure.
  2. “Foreclosure conveyance” means a transaction involving:
    1. The transfer of title to real property by a foreclosed homeowner during a foreclosure proceeding, either by transfer of interest from the foreclosed homeowner or by creation of a mortgage or other lien or encumbrance during the foreclosure process that allows the acquirer to obtain title to the property by redeeming the property as a junior lienholder; and
    2. The subsequent conveyance, or promise of a subsequent conveyance, of an interest back to the foreclosed homeowner by the acquirer or a person acting in participation with the acquirer that allows the foreclosed homeowner to possess the real property following the completion of the foreclosure proceeding, which interest includes but is not limited to, an interest in a contract for deed, purchase agreement, option to purchase, or lease.
  3. “Foreclosure purchaser” means a person who has acted as the acquirer in more than four (4) foreclosure reconveyances during any twenty-four-month (24) period. “Foreclosure purchaser” also includes a person who has acted in joint venture or joint enterprise with one or more acquirers in more than four (4) foreclosure reconveyances during any twenty-four-month (24) period. A federal or state chartered bank, savings bank, thrift, or credit union is not a foreclosure purchaser.
  4. “Resale” means a bona fide market sale of the property subject to the foreclosure reconveyance by the foreclosure purchaser to an unaffiliated third-party.
  5. “Resale price” means the gross sale price of the property on resale.

History of Section. P.L. 2006, ch. 242, § 2; P.L. 2006, ch. 287, § 2.

5-80-2. Contract requirement — Form and language.

A foreclosure purchaser shall enter into every foreclosure reconveyance in the form of a written contract. Every contract must be written in letters of a size equal to at least twelve-point (12) boldface type, in the same language principally used by the foreclosure purchaser and foreclosed homeowner to negotiate the sale of the residence in foreclosure and must be fully completed and signed and dated by the foreclosed homeowner and foreclosure purchaser before the execution of any instrument of conveyance of the residence in foreclosure.

History of Section. P.L. 2006, ch. 242, § 2; P.L. 2006, ch. 287, § 2.

5-80-3. Contract terms.

  1. Every contract required by § 5-80-2 must contain the entire agreement of the parties and must include the following terms:
    1. The name, business address, and the telephone number of the foreclosure purchaser;
    2. The address of the residence in foreclosure;
    3. The total consideration to be given by the foreclosure purchaser in connection with or incident to the sale;
    4. A complete description of the terms of payment or other consideration including, but not limited to, any services of any nature that the foreclosure purchaser represents he or she will perform for the foreclosed homeowner before or after the sale;
    5. The time at which possession is to be transferred to the foreclosure purchaser;
    6. A complete description of the terms of any related agreement designed to allow the foreclosed homeowner to remain in the home, such as a rental agreement, repurchase agreement, contract for deed, or lease with option to buy;
    7. A notice of cancellation as provided in § 5-80-5(b) ; and
    8. The following notice in at least fourteen-point (14) boldface type, if the contract is printed, or in capital letters if the contract is typed, and completed with the name of the foreclosure purchaser, immediately above the statement required by § 5-80-5(a) : The contract required by this section survives delivery of any instrument of conveyance of the residence in foreclosure, and has no effect on persons other than the parties to the contract.

“NOTICE REQUIRED BY RHODE ISLAND LAW Until your right to cancel this contract has ended, (Name) or anyone working for (Name) CANNOT ask you to sign or have you sign any deed or any other document.”

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History of Section. P.L. 2006, ch. 242, § 2; P.L. 2006, ch. 287, § 2.

5-80-4. Contract cancellation.

  1. In addition to any other right of rescission, the foreclosed homeowner has the right to cancel any contract with a foreclosure purchaser until midnight of the fifth (5th) business day following the day on which the foreclosed homeowner signs a contract that complies with §§ 5-80-1 5-80-6 or until 8:00 a.m. on the last day of the period during which the foreclosed homeowner has a right of redemption, whichever occurs first.
  2. Cancellation occurs when the foreclosed homeowner delivers, by any means, written notice of cancellation to addresses specified in the contract.
  3. A notice of cancellation given by the foreclosed homeowner need not take the particular form as provided with the contract.
  4. Within ten (10) days following the receipt of a notice of cancellation given in accordance with this section, the foreclosure purchaser shall return without condition any original contract and any other documents signed by the foreclosed homeowner.

History of Section. P.L. 2006, ch. 242, § 2; P.L. 2006, ch. 287, § 2; P.L. 2009, ch. 310, § 45.

5-80-5. Notice of cancellation.

  1. The contract must contain in immediate proximity to the space reserved for the foreclosed homeowner’s signature a conspicuous statement in a size equal to at least fourteen-point (14) boldface type, if the contract is printed, or in capital letters if the contract is typed, as follows:

    “You may cancel this contract for the sale of your house without any penalty or obligation at any time before _______________________________________ (Date and time of day). See the attached notice of cancellation form for an explanation of this right.”

    The foreclosure purchaser shall accurately enter the date and time of day on which the cancellation right ends.

  2. The contract must be accompanied by a completed form in duplicate, captioned “notice of cancellation” in a size equal to a twelve-point (12) boldface type if the contract is printed, or in capital letters, if the contract is typed, followed by a space in which the foreclosure purchaser shall enter the date on which the foreclosed homeowner executes any contract. This form must be attached to the contract, must be easily detachable, and must contain in type of at least ten (10) points, if the contract is printed, or in capital letters if the contract is typed, the following statement written in the same language as used in the contract:
  3. The foreclosure purchaser shall provide the foreclosed homeowner with a copy of the contract and the attached notice of cancellation at the time the contract is executed by all parties.
  4. The five (5) business days during which the foreclosed homeowner may cancel the contract must not begin to run until all parties to the contract have executed the contract and the foreclosure purchaser has complied with this section.

“NOTICE OF CANCELLATION (Enter date contract signed) You may cancel this contract for the sale of your house, without any penalty or obligation, at any time before (enter date and time of day). To cancel this transaction, personally deliver a signed and dated copy of this cancellation notice to (Name of purchaser) at (Street address of purchaser’s place of business) NOT LATER THAN (Enter date and time of day). I hereby cancel this transaction. (Date) (Seller’s signature)”

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History of Section. P.L. 2006, ch. 242, § 2; P.L. 2006, ch. 287, § 2.

5-80-6. Waiver.

Any waiver of the provisions of §§ 5-80-1 5-80-9 is void and unenforceable as contrary to public policy except a consumer may waive the five-day (5) right to cancel provided in § 5-80-4 if the property is subject to a foreclosure sale within the five (5) business days, and the foreclosed homeowner agrees to waive his or her right to cancel in a handwritten statement signed by all parties holding title to the foreclosed property.

History of Section. P.L. 2006, ch. 242, § 2; P.L. 2006, ch. 287, § 2.

5-80-7. Arbitration.

Any provision in a contract that attempts or purports to require arbitration of any dispute arising under §§ 5-80-1 5-80-9 is void at the option of the owner.

History of Section. P.L. 2006, ch. 242, § 2; P.L. 2006, ch. 287, § 2.

5-80-8. Prohibited practices.

A foreclosure purchaser shall not:

  1. Enter into, or attempt to enter into, a foreclosure reconveyance with a foreclosed homeowner unless:
    1. The foreclosure purchaser verifies and can demonstrate that the foreclosed homeowner has a reasonable ability to pay for the subsequent conveyance of an interest back to the foreclosed homeowner. In the case of a lease with an option to purchase, payment ability also includes the reasonable ability to make the lease payments and purchase the property within the term of the option to purchase. There is a rebuttable presumption that a homeowner is reasonably able to pay for the subsequent conveyance if the owner’s payments for primary housing expenses and regular principal and interest payments on other personal debt, on a monthly basis, do not exceed sixty percent (60%) of the owner’s monthly gross income. For the purposes of this section, “primary housing expenses” means the sum of payments for regular principal, interest, rent, utilities, hazard insurance, real estate taxes, and association dues. There is a rebuttable presumption that the foreclosure purchaser has not verified reasonable payment ability if the foreclosure purchaser has not obtained documents other than a statement by the foreclosed homeowner of assets, liabilities, and income;
    2. The foreclosure purchaser and the foreclosed homeowner complete a closing for any foreclosure reconveyance in which the foreclosure purchaser obtains a deed or mortgage from a foreclosed homeowner. For purposes of this section, “closing” means an in-person meeting to complete final documents incident to the sale of the real property or creation of a mortgage on the real property conducted by a closing agent who is not employed by or an affiliate of the foreclosure purchaser;
    3. The foreclosure purchaser obtains the written consent of the foreclosed homeowner to a grant by the foreclosure purchaser of any interest in the property during such times as the foreclosed homeowner maintains any interest in the property; and
    4. The foreclosure purchaser complies with the requirements of the federal Home Ownership Equity Protection Act, 15 U.S.C. § 1639, or its implementing regulation, 12 C.F.R. §§ 226.31 — 226.34, for any foreclosure reconveyance in which the foreclosed homeowner obtains a vendee interest in a contract for deed;
  2. Fail to either:
    1. Ensure that title to the subject dwelling has been reconveyed to the foreclosed homeowner; or
    2. Make a payment to the foreclosed homeowner such that the foreclosed homeowner has received consideration in an amount of at least eighty two percent (82%) of the fair market value of the property within one hundred fifty (150) days of either the eviction or voluntary relinquishment of possession of the dwelling by the foreclosed homeowner. The foreclosure purchaser shall make a detailed accounting of the basis for the payment amount, or a detailed accounting of the reasons for failure to make a payment, including providing written documentation of expenses, within this one-hundred-fifty-day (150) period. The accounting shall be on a form prescribed by the department of attorney general, in consultation with the department of business regulation, without being subject to the rulemaking procedures of chapter 35 of title 42. For purposes of this provision, the following applies:
      1. There is a rebuttable presumption that an appraisal by a person licensed or certified by an agency of the federal government or this state to appraise real estate constitutes the fair market value of the property;
      2. The time for determining the fair market value amount shall be determined in the foreclosure reconveyance contract as either at the time of the execution of the foreclosure reconveyance contract or at resale. If the contract states that the fair market value shall be determined at the time of resale, the fair market value shall be the resale price if it is sold within one hundred twenty (120) days of the eviction or voluntary relinquishment of the property by the foreclosed homeowner. If the contract states that the fair market value shall be determined at the time of resale, and the resale is not completed within one hundred twenty (120) days of the eviction or voluntary relinquishment of the property by the foreclosed homeowner, the fair market value shall be determined by an appraisal conducted during this one-hundred-twenty-day (120) period and payment, if required, shall be made to the homeowner, but the fair market value shall be recalculated as the resale price, on resale and an additional payment amount, if appropriate based on the resale price, shall be made to the foreclosed homeowner within fifteen (15) days of resale, and a detailed accounting of the basis for the payment amount, or a detailed accounting of the reasons for failure to make additional payment, shall be made within fifteen (15) days of resale, including providing written documentation of expenses. The accounting shall be on a form prescribed by the department of attorney general, in consultation with the department of business regulation, without being subject to the rulemaking procedures of chapter 35 of title 42;
      3. “Consideration” shall mean any payment or item of value provided to the foreclosed homeowner, including unpaid rent or contract for deed payments owed by the foreclosed homeowner prior to the date of eviction or voluntary relinquishment of the property, reasonable costs paid to third parties necessary to complete the foreclosure reconveyance transaction, payment of money to satisfy a debt or legal obligation of the foreclosed homeowner, or the reasonable cost of repairs for damage to the dwelling caused by the foreclosed homeowner;
      4. “Consideration” shall not include amounts imputed as a down payment or fee to the foreclosure purchaser, or a person acting in participation with the foreclosure purchaser, incident to a contract for deed, lease, or option to purchase entered into as part of the foreclosure reconveyance, except for reasonable costs paid to third parties necessary to complete the foreclosure reconveyance;
  3. Enter into repurchase or lease terms as part of the subsequent conveyance that are unfair or commercially unreasonable, or engage in any other unfair conduct;
  4. Represent, directly or indirectly, that:
    1. The foreclosure purchaser is acting as an advisor or a consultant, or in any other manner represent that the foreclosure purchaser is acting on behalf of the homeowner;
    2. The foreclosure purchaser has certification or licensure that the foreclosure purchaser does not have, or that the foreclosure purchaser is not a member of a licensed profession if that is untrue;
    3. The foreclosure purchaser is assisting the foreclosed homeowner to “save the house” or substantially similar phrase; or
    4. The foreclosure purchaser is assisting the foreclosed homeowner in preventing a completed foreclosure if the result of the transaction is that the foreclosed homeowner will not complete a redemption of the property;
  5. Make any other statements, directly or by implication, or engage in any other conduct that is false, deceptive, or misleading, or that has the likelihood to cause confusion or misunderstanding, including, but not limited to, statements regarding the value of the residence in foreclosure, the amount of proceeds the foreclosed homeowner will receive after a foreclosure sale, any contract term, or the foreclosed homeowner’s rights or obligations incident to, or arising out of, the foreclosure reconveyance; or
  6. Do any of the following until the time during which the foreclosed homeowner may cancel the transaction has fully elapsed:
    1. Accept from any foreclosed homeowner an execution of, or induce any foreclosed homeowner to execute, any instrument of conveyance of any interest in the residence in foreclosure;
    2. Record with the records of land evidence in the city or town where such foreclosed property is located any document, including, but not limited to, any instrument of conveyance, signed by the foreclosed homeowner;
    3. Transfer or encumber, or purport to transfer or encumber, any interest in the residence in foreclosure to any third-party, provided no grant of any interest or encumbrance is defeated or affected as against a bona fide purchaser or encumbrance for value and without notice of a violation of §§ 5-80-1 5-80-9 , and knowledge on the part of any such person or entity that the property was “residential real property in foreclosure” does not constitute notice of a violation of §§ 5-80-1 5-80-9 . This section does not abrogate any duty of inquiry that exists as to rights or interest of persons in possession of the residential real property in foreclosure; or
    4. Pay the foreclosed homeowner any consideration.

History of Section. P.L. 2006, ch. 242, § 2; P.L. 2006, ch. 287, § 2; P.L. 2009, ch. 310, § 45.

5-80-9. Enforcement.

  1. Remedies.  A violation of §§ 5-80-1 5-80-8 is considered to be a violation of § 6-13.1-2 and all the remedies of § 6-13.1-5.2 are available for such an action. A private right of action under § 6-13.1-5.2 by a foreclosed homeowner is in the public interest.
  2. Exemplary damages.  In a private right of action under § 6-13.1-5.2 for a violation of § 5-80-8 , the court may award exemplary damages of any amount. In the event the court determines that an award of exemplary damages is appropriate, the amount of exemplary damages awarded shall not be less than one and one half (11/2) times the foreclosed homeowner’s actual damages. Any claim for exemplary damages brought pursuant to this section must be commenced within four (4) years after the date of the alleged violation.
  3. Remedies cumulative.  The remedies provided in this section are cumulative and do not restrict any remedy that is otherwise available. The provisions of §§ 5-80-1 5-80-9 are not exclusive and are in addition to any other requirements, rights, remedies, and penalties provided by law.
  4. Criminal penalty.  Any foreclosure purchaser who engages in any practice that would operate as a fraud or deceit upon a foreclosed homeowner may, upon conviction, be fined not more than fifty thousand dollars ($50,000) or imprisoned not more than one year, or both. Prosecution or conviction for any one of the violations does not bar prosecution or conviction for any other offenses.
  5. Failure of transaction.  Failure of the parties to complete the reconveyance transaction, in the absence of additional misconduct, shall not subject a foreclosure purchaser to the criminal penalties under § 5-79-7 or this section.
  6. Limitation.  Notwithstanding any other provisions of this section, no action may be brought on the basis of a violation of §§ 5-80-1 5-80-9 , except by an owner against whom the violation was committed or by the department of attorney general.

History of Section. P.L. 2006, ch. 242, § 2; P.L. 2006, ch. 287, § 2; P.L. 2007, ch. 340, § 2.

Chapter 81 Truth in Music Advertising Act

5-81-1. Short title.

This chapter shall be known and may be cited as the “Truth in Music Advertising Act.”

History of Section. P.L. 2008, ch. 242, § 1; P.L. 2008, ch. 312, § 1.

5-81-2. Definitions.

The following words and phrases when used in this chapter shall have the meanings given to them in this chapter unless the context clearly indicates otherwise:

  1. “Performing group” means a vocal or instrumental group seeking to use the name of another group that has previously released a commercial sound recording under that name.
  2. “Recording group” means a vocal or instrumental group at least one of whose members has previously released a commercial sound recording under that group’s name and in which the member or members have a legal right by virtue of use or operation under the group name without having abandoned the name or affiliation with the group.
  3. “Sound recording” means a work that results from the fixation on a material object of a series of musical, spoken, or other sounds, regardless of the nature of the material object, such as a disk, tape, or other phono-record, in which the sounds are embodied.

History of Section. P.L. 2008, ch. 242, § 1; P.L. 2008, ch. 312, § 1.

5-81-3. Production.

It shall be unlawful for any person to advertise or conduct a live musical performance or production in this state through the use of a false, deceptive, or misleading affiliation, connection, or association between a performing group and a recording group. This section does not apply if any of the following apply:

  1. The performing group is the authorized registrant and owner of a federal service mark for that group registered in the United States Patent and Trademark Office.
  2. At least one member of the performing group was a member of the recording group and has a legal right by virtue of use or operation under the group name without having abandoned the name or affiliation with the group.
  3. The live musical performance or production is identified in all advertising and promotion as a salute or tribute.
  4. The advertising does not relate to a live musical performance or production taking place in this state.
  5. The performance or production is expressly authorized by the recording group.

History of Section. P.L. 2008, ch. 242, § 1; P.L. 2008, ch. 312, § 1.

5-81-4. Restraining prohibited acts — Injunction.

Whenever the attorney general has a reason to believe that any person is advertising or conducting or is about to advertise or conduct a live musical performance or production in violation of § 5-81-3 and that proceedings would be in the public interest, the attorney general may bring an action against the person to restrain, by temporary or permanent injunction, that practice.

History of Section. P.L. 2008, ch. 242, § 1; P.L. 2008, ch. 312, § 1.

5-81-5. Payment of costs and restitution.

Whenever any court issues a permanent injunction to restrain and prevent violations of this chapter as authorized in § 5-81-4 , the court may in its discretion direct that the defendant restore to any person in interest any moneys or property real or personal that may have been acquired by means of any violation of this chapter, under terms and conditions to be established by the court.

History of Section. P.L. 2008, ch. 242, § 1; P.L. 2008, ch. 312, § 1.

5-81-6. Penalty.

Any person who violates the provisions of § 5-81-3 is liable to the state for a civil penalty of not less than five thousand dollars ($5,000) nor more than fifteen thousand dollars ($15,000) per violation, which civil penalty shall be in addition to any other relief which may be granted under §§ 5-81-4 and 5-81-5 . Each performance or production declared unlawful by § 5-81-3 shall constitute a separate violation.

History of Section. P.L. 2008, ch. 242, § 1; P.L. 2008, ch. 312, § 1.

Chapter 82 Home Heating Oil Sales

5-82-1. Requirements for guaranteed price plans, price protection, and prepaid contracts.

  1. A contract for the retail sale of home heating oil that offers a guaranteed-price plan, including a ceiling-price-cap-plan contract and any other similar plan, must be disclosed in a way to clearly define the terms and conditions of the price plan. The disclosure of terms and conditions must be in plain language; must immediately follow the language concerning the price or service that could be affected; and must be, if initiated verbally, confirmed in writing no more than fourteen (14) days from the initiation date using no less than twelve-point (12) boldface type of uniform font. The disclosure of terms and conditions, must include, but not be limited to, any additional fees or costs for securing the guaranteed price, as well as, any early termination fees.
  2. A solicitation for the retail sale of home-heating oil that offers a guaranteed-price plan, including a ceiling-price-cap plan and any other similar plan, must be confirmed in writing, no more than fourteen (14) days from the solicitation date, and the terms and conditions of that offer must be disclosed in plain language.
  3. A home-heating-oil dealer that pays for media or print advertising of a price shall offer the price for a period of no less than twenty-four (24) hours, or until the next advertised price is so publicized, whichever occurs first.
  4. No prepaid, home-heating-oil contract shall require any consumer commitment to purchase home-heating oil pursuant to the terms of such contract for a period of more than twelve (12) months.
  5. Any violation of this chapter shall render the terms and conditions of the aforementioned contract null and void.

History of Section. P.L. 2009, ch. 125, § 1; P.L. 2009, ch. 138, § 1.

Chapter 83 Propane Gas Sales

5-83-1. Requirements for guaranteed price plans, price protection, and prepaid contracts.

  1. A contract for the retail sale of propane gas that offers a guaranteed price plan, including a ceiling price cap plan contract and any other similar plan, must be disclosed in a way to clearly define the terms and conditions of the price plan. The disclosure of terms and conditions must be in plain language, must immediately follow the language concerning the price or service that could be affected and must be, if initiated verbally, confirmed in writing no more than fourteen (14) days from the initiation date using no less than twelve (12) point boldface type of uniform font. The disclosure of terms and conditions must include, but not be limited to, any additional fees or costs for securing the guaranteed price, as well as, any early termination fees, and shall express the price in terms of the sum of any such fees divided by the number of gallons delivered.
  2. A solicitation for the retail sale of propane gas that offers a guaranteed price plan, including a ceiling price cap plan and any other similar plan, must be confirmed in writing no more than fourteen (14) days from the solicitation date, and the terms and conditions of that offer must be disclosed in plain language.
  3. A propane gas dealer that pays for media or print advertising of a price shall offer said price for a period of no less than twenty-four (24) hours or until the next advertised price is so publicized, whichever occurs first.
  4. No prepaid propane gas contract shall require any consumer commitment to purchase propane gas pursuant to the terms of such contract for a period of more than twelve (12) months.
  5. Any violation of this section shall render the terms and conditions of the aforementioned contract null and void.

History of Section. P.L. 2009, ch. 333, § 1; P.L. 2011, ch. 214, § 1; P.L. 2011, ch. 312, § 1; P.L. 2012, ch. 116, § 1; P.L. 2012, ch. 123, § 1.

5-83-2. Surcharge disclosure and actual cost estimates.

  1. As used in this chapter, “consumer” or “residential consumer” means a direct purchaser of propane for consumption and not for resale as the primary source of fuel for residential heating and/or domestic hot water to one or more dwelling units within a structure having not more than four (4) dwelling units.
  2. No propane gas dealer shall charge a residential consumer any fee above the delivered cost per gallon of propane unless the fee was disclosed prior to delivery in a consumer contract or dealer notice, and is itemized in an invoice provided to the consumer. Propane gas dealers shall provide a written explanation of the fee and disclose the actual or best estimate of the amount of the fee to be charged in connection with the next delivery within five (5) business days of a consumer’s request for such information at no expense to the consumer.
  3. Upon the request of an individual, a propane gas dealer shall promptly disclose, over the telephone or in writing, the estimated price per gallon of propane and any charges that are applicable to the individual based on stated usage, the price and terms of leasing, loaning, or purchasing storage containers through the seller, and other pertinent information, provided that nothing in this subsection shall be interpreted as creating a business relationship between an individual and a propane gas dealer.

History of Section. P.L. 2011, ch. 214, § 2; P.L. 2011, ch. 312, § 2.

5-83-3. Propane storage container financing and denial of service.

  1. If a propane gas dealer, in its sole discretion, agrees to finance a consumer’s purchase of a propane storage container, the financing shall be subject to the provisions of chapter 27 of title 6, entitled “Truth in Lending and Retail Selling.”
  2. Propane storage containers may only be filled by the owner or upon the owner’s authorization. When the propane storage container is owned by the consumer, a propane gas dealer shall not refuse to deliver propane to the consumer-owned container if the consumer:
    1. Satisfies the dealer’s credit and payment requirements;
    2. Enters into a written service agreement if required by the dealer in the regular course of business;
    3. Is located within the dealer’s delivery territory;
    4. Provides proof of ownership of the container;
    5. Arranges for a safety check of the propane system and the installation and operation of the system are determined by the dealer to comply with NFPA 54 (National Fuel Gas Code) and NFPA 58 (Storage and Handling of Liquefied Petroleum Gas Code) of the National Fire Protection Association; and
    6. Complies with appropriate safety requirements as required by the dealer.

History of Section. P.L. 2011, ch. 214, § 2; P.L. 2011, ch. 312, § 2.

5-83-4. Emergency contact information.

The firm name and emergency telephone number of a gas dealer that delivers propane to a stationary DOT cylinder and/or an ASME tank with an aggregate capacity of less than four thousand gallons (4,000 gals.) water storage capacity shall be affixed and legibly maintained in a visible location on or near all such stationary propane containers in text at least one-half (1/2) inch in height.

History of Section. P.L. 2011, ch. 214, § 2; P.L. 2011, ch. 312, § 2.

5-83-5. Termination of service.

  1. When a business relationship is terminated between a residential consumer and a gas dealer that has leased or loaned a propane storage container to the consumer, the propane gas dealer shall:
    1. At the consumer’s request, remove the propane gas storage container that it owns from the consumer’s premises by the latest of the following dates:
      1. Twenty (20) days from the termination or thirty (30) days from the termination in the case of an underground tank;
      2. In the case of a cash customer, twenty (20) days from receipt of payment of all amounts due to the gas dealer by the consumer; or
      3. As soon as weather conditions and access to the propane storage container allow;
    2. Within thirty (30) days after removal of a dealer-supplied propane gas storage container, reimburse the consumer for any propane gas remaining in the container at the retail per gallon price that was paid by the consumer, less any amounts due from the consumer to the dealer;
    3. Be authorized to charge a consumer commercially reasonable fees, as applicable, for propane storage container excavation and pump out if an existing contract between the consumer and gas dealer allows the dealer to charge such fees;
    4. Be authorized to charge a consumer a disconnect or tank removal fee in an amount that is commercially reasonable based on labor, transportation, restocking, and similar costs, if the fee has been disclosed to the consumer in a written agreement and if:

      (i) For storage containers situated above ground, the container has been located on the consumer’s premises for less than three (3) years; or

      (ii) For storage containers situated underground, the container has been located on the consumer’s premises for less than five (5) years.

  2. A provision of an existing contract that allows a gas dealer to charge a consumer a disconnect or tank removal fee with respect to a container that has been located on the consumer’s premises for more than three (3) years shall remain valid and enforceable until the date the contract expires or June 1, 2012, whichever is sooner.

History of Section. P.L. 2011, ch. 214, § 2; P.L. 2011, ch. 312, § 2.

5-83-6. Violations.

Any person or entity who sells propane gas to be used for residential use that knowingly violates this chapter may be fined in an amount not more than five hundred dollars ($500).

History of Section. P.L. 2011, ch. 214, § 2; P.L. 2011, ch. 312, § 2.

5-83-7. Measurement of propane for sales purposes.

  1. Propane supplied to portable containers shall be measured and billed by weight, before and after filling, as shown on a national type evaluation program scale.
  2. Propane supplied to portable containers that cannot be weighed shall be measured by a national type evaluation program approved meter.
  3. The price per unit weight, or gallon, shall be conspicuously posted at the site of the filling scale.
  4. This section shall not apply to propane tank exchange programs wherein prefilled portable propane containers are provided to consumers for a flat fee.

History of Section. P.L. 2014, ch. 150, § 1; P.L. 2014, ch. 162, § 1.

Chapter 84 Division of Building, Design and Fire Professionals

5-84-1. Short title.

This chapter shall be known and may be cited as “The Division of Building, Design and Fire Professionals Act.”

History of Section. P.L. 2010, ch. 152, § 1; P.L. 2010, ch. 153, § 1; P.L. 2018, ch. 47, art. 3, § 2.

5-84-1.1. Definitions.

As used in this chapter:

  1. “Department” means the department of business regulation.
  2. “Director” means the director, or his or her designee, of the department of business regulation.

History of Section. P.L. 2013, ch. 298, § 6; P.L. 2013, ch. 378, § 6.

5-84-2. Division of building, design and fire professionals.

There has been created within the department of business regulation, a division known as the division of building, design and fire professionals.

History of Section. P.L. 2010, ch. 152, § 1; P.L. 2010, ch. 153, § 1; P.L. 2018, ch. 47, art. 3, § 2.

5-84-3. Division membership.

The division consists of the membership of the office of the state fire marshal, the fire safety code board of appeal and review, and the state building office.

History of Section. P.L. 2010, ch. 152, § 1; P.L. 2010, ch. 153, § 1; P.L. 2018, ch. 47, art. 3, § 2; P.L. 2019, ch. 88, art. 4, § 2.

Effective Dates.

P.L. 2019, ch. 88, art. 4, § 25, provides that the amendment to this section by that act takes effect on January 1, 2020.

5-84-3.1. Establishment of the state building office.

  1. There shall be the state building office within the department of business regulation’s division of building, design and fire professionals which shall consist of: the office of the state building commissioner, the board of registration for professional engineers, the board of registration for professional land surveyors, the board of examination and registration of architects, the board of examiners of landscape architects, and the contractors’ registration and licensing board.
  2. The department of business regulation is hereby designated as the administrative entity responsible for the operation of the state building office. In the discretion of the director of business regulation, the department shall provide appropriate staff support to the state building office, and any such staff may be shared within the state building office as necessary.

History of Section. P.L. 2019, ch. 88, art. 4, § 3.

Effective Dates.

P.L. 2019, ch. 88, art. 4, § 25, provides that this section takes effect on January 1, 2020.

5-84-4. Suitable quarters.

The department of business regulation shall provide suitable and adequate space for the division.

History of Section. P.L. 2010, ch. 152, § 1; P.L. 2010, ch. 153, § 1.

5-84-5. Imposition of fines for unregistered activity.

  1. In addition to any other provision of law, if a person or business practices or offers to practice architecture, engineering, land surveying, or landscape architecture in the state without being registered or authorized to practice as required by law, the boards within the division may recommend that the director of the department of business regulation, or the director’s designee, issue an order imposing a fine; provided, however, that this section shall not apply to issues between the boards referred to in this subsection as to the scope of a board registrant’s authority to engage in work relating to another board’s jurisdiction or to issues relating to ISDS (individual sewage disposal systems) designers licensed by the department of environmental management.
  2. A fine ordered under this section may not exceed two thousand five hundred dollars ($2,500) for each offense. In recommending a fine, the board shall set the amount of the penalty imposed under this section after taking into account factors, including the seriousness of the violation; the economic benefit resulting from the violation; the history of violations; and other matters the board considers appropriate.
  3. Before recommending that a fine be ordered under this section, the board shall provide the person or business written notice and the opportunity to request, within thirty (30) days of issuance of notice by the board, a hearing on the record.
  4. A person or business aggrieved by the ordering of a fine under this section may file an appeal with the superior court for judicial review of the ordering of a fine.
  5. If a person or business fails to pay the fine within thirty (30) days after entry of an order under subsection (a), or if the order is stayed pending an appeal, within ten (10) days after the court enters a final judgment in favor of the department of an order appealed under subsection (d), the director may commence a civil action to recover the amount of the fine.

History of Section. P.L. 2010, ch. 152, § 1; P.L. 2010, ch. 153, § 1; P.L. 2013, ch. 298, § 5; P.L. 2013, ch. 378, § 5; P.L. 2018, ch. 47, art. 3, § 2.

5-84-6. Cease and desist authority.

If the director has reason to believe that any person, firm, corporation, or association is conducting any activity under the jurisdiction of the division of building, design and fire professionals including professional engineering, professional land surveying, architecture, or landscape architecture without obtaining a license or registration, or who after the denial, suspension, or revocation of a license or registration is conducting that business, the director, or the director’s designee, may, either on his or her own initiative or upon recommendation of the appropriate board, issue an order to that person, firm, corporation, or association commanding them to appear before the department at a hearing to be held not sooner than ten (10) days, nor later than twenty (20) days, after issuance of that order to show cause why the director, or the director’s designee, should not issue an order to that person to cease and desist from the violation of the provisions of this chapter or chapters 1, 8, 8.1, 51, and/or 65 of this title. That order to show cause may be served on any person, firm, corporation, or association named by any person in the same manner that a summons in a civil action may be served, or by mailing a copy of the order, certified mail, return receipt requested, to that person at any address at which that person has done business or at which that person lives. If during that hearing the director, or the director’s designee, is satisfied that the person, firm, corporation, or association is in fact violating any provision of this chapter, the director, or the director’s designee, may order that person, firm, corporation, or association, in writing, to cease and desist from that violation and/or impose an appropriate fine under § 5-84-5 or other applicable law and/or refer the matter to the attorney general for appropriate action under chapters 1, 8, 8.1, 51, and/or 65 of this title. All these hearings are governed in accordance with the administrative procedures act. If that person fails to comply with an order of the department after being afforded a hearing, the superior court for Providence county has jurisdiction upon complaint of the department to restrain and enjoin that person from violating chapters 1, 8, 8.1, 51, 65, and/or 84 of this title.

History of Section. P.L. 2013, ch. 298, § 6; P.L. 2013, ch. 378, § 6; P.L. 2018, ch. 47, art. 3, § 2.

5-84-7. Electronic applications for certificates of authorization.

All applications to the division of building, design and fire professionals for certificates of authorization shall be submitted electronically through the department’s electronic-licensing system, unless special permission to apply in paper format is requested by the applicant and granted by the director or the director’s designee.

History of Section. P.L. 2016, ch. 347, § 3; P.L. 2016, ch. 363, § 3; P.L. 2018, ch. 47, art. 3, § 2.

Chapter 85 Discount Buying Clubs

5-85-1. Definitions.

  1. “Discount buying club” means any person, firm, or corporation, who or that, in exchange for valuable consideration, offers to sell or to arrange the sale of goods or services to its customers at prices represented to be lower than are generally available.
  2. “Discount buying club” shall not include any cooperative buying association or other group in which no person is intended to profit or actually profits beyond the benefit that all members receive from buying at a discount; nor shall any person, firm, or corporation be deemed a “discount buying club” solely by virtue of the fact that:
    1. For fifty dollars ($50.00) or less it sells tickets or coupons valid for use in obtaining goods or services from a retail merchant; or
    2. As a service collateral to its principal business, and for no additional charge, it arranges for its members or customers to purchase or lease directly from particular merchants at a specified discount.
  3. “Discount buying club” shall not include any person, firm, or corporation who or that charges an advance month-by-month fee for access to service or member benefits, and allows the buyer to terminate membership by notifying the person, firm, or corporation of intent to terminate membership without further obligation to make additional payments.

History of Section. P.L. 2010, ch. 52, § 1; P.L. 2010, ch. 73, § 1.

5-85-2. Contract requirements.

  1. Every contract between a discount buying club and its customers shall be in writing, completely filled out, dated, and signed by all contracting parties. A copy of the completed contract shall be given to the buyer at the time he or she signs it. The contract shall, in clear, conspicuous, and simple language:
    1. State the duration of the contract in a definite period of years or months. If the contract may be periodically renewed, the contract shall state specifically the terms under which it may be renewed and the amount of any renewal fees must be stated unless the contract meets the requirements of subsection (b);
    2. Contain, immediately above the customer’s signature in boldface type of not less than a ten-point (10) size, a statement substantially as follows: “You, the customer, may cancel this contract at any time prior to midnight of the third (3rd) business day after the date of this contract. To cancel you must notify the company in writing of your intent to cancel”;
    3. List the categories of goods and services the buying club contracts to make available;
    4. State the procedures by which the customer can select, order, and pay for merchandise or services and provide information regarding estimated delivery dates and the manner of delivery of products; and
    5. State the discount buying club’s obligations with respect to warranties on goods or services ordered.
  2. The written contract required by subsection (a) need not be signed or dated by the customer if one of the following requirements are met:
    1. The total consideration paid by each member or customer does not exceed a one-time or annual fee of one hundred fifty dollars ($150) or less; or
    2. The member or customer has the unconditional right to cancel the contract at any time and receive within ten (10) days a full refund of the one-time membership fee, or the annual membership fee covering the current membership period, whichever the case may be.

History of Section. P.L. 2010, ch. 52, § 1; P.L. 2010, ch. 73, § 1.

5-85-3. Customer’s right to cancel.

Each contract for a discount buying club membership shall provide that the contract may be cancelled at anytime up until midnight of the third (3rd) business day after the date of receipt by the buyer of a copy of the written contract, by written notice, delivered by certified or registered United States mail to the seller at an address that shall be specified in the contract. For purposes of this chapter, business days exclude Sundays, and any holiday on which regular mail deliveries are not made.

History of Section. P.L. 2010, ch. 52, § 1; P.L. 2010, ch. 73, § 1.

5-85-4. Prohibited acts.

Discount buying clubs shall not:

  1. Discourage or refuse to allow a potential customer to inspect any of their current merchandise catalogs and price lists during the formal prescheduled information session at their place of business.
  2. Refuse to refund or exchange a good that does not conform to the customer’s order.

History of Section. P.L. 2010, ch. 52, § 1; P.L. 2010, ch. 73, § 1.

5-85-5. Violations.

A violation of any of the provisions in this chapter shall constitute an unfair or deceptive act or practice as defined in chapters 13 and 13.1 of title 6.

History of Section. P.L. 2010, ch. 52, § 1; P.L. 2010, ch. 73, § 1.

Chapter 86 Licensing of Applied Behavior Analysts

5-86-1. Short title.

This chapter shall be known and may be cited as “Licensing of Applied Behavior Analysts.”

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-2. Definitions.

As used in this chapter, the following terms shall be construed as follows:

  1. “Applied behavior analyst” means a person licensed to practice applied behavior analysis under the provisions of this chapter and the rules and regulations authorized by this chapter.
  2. “Applied behavior analyst aide” means a person not licensed pursuant to the laws and rules applicable to the practice of applied behavior analysis, who works under the supervision of a licensed applied behavior analyst, who assists in the practice of applied behavior analysis and whose activities require an understanding of applied behavior analysis, but do not require professional or advanced training in the basic anatomical, psychological, and social sciences involved in the practice of applied behavior analysis.
  3. “Applied behavior assistant analyst” means a person licensed who practices applied behavior analysis under the provisions of this chapter and the rules and regulations authorized by this chapter.
  4. “Board” means the licensing board of applied behavior analysts within the Rhode Island department of health, established pursuant to the provisions of § 5-86-4 .
  5. “Department” means the Rhode Island department of health.
  6. “Director” means the director of the Rhode Island department of health.
  7. “Education” means the academic program pursued by the person in obtaining the bachelor’s, master’s, or doctorate degree, that the programs to include formal course work, seminars, and practica.
  8. “Psychologist with equivalent experience” means a person deemed to hold equivalent licensure as an applied behavior analyst upon satisfying equivalency requirements through submission and satisfaction of written evidence of education and relevant experience to the department pursuant to § 5-86-9(c) .
  9. “Practice of applied behavior analysis” means the design, implementation, and evaluation of environmental modifications by a behavior analyst to produce socially significant improvements in human behavior. It includes the empirical identification of functional relations between environment and behavior, known as functional assessment and analysis. Applied behavior analysis interventions are based on scientific research and the direct observation and measurement of behavior and environment. They utilize contextual factors, establishing operations, antecedent stimuli, positive reinforcement, and other consequences to help people develop new behaviors, increase or decrease existing behaviors, and emit behaviors under specific environmental conditions. The practice of applied behavior analysis expressly excludes psychological testing, neuropsychology, psychotherapy, cognitive therapy, sex therapy, psychoanalysis, hypnotherapy, and long-term counseling as treatment modalities. Such services are provided by a person licensed under this chapter only when applied behavior analysis services are prescribed by a child psychiatrist, a behavioral developmental pediatrician, a child neurologist, or a licensed psychologist with training in child psychology pursuant to § 27-20.11-4 .
  10. “Supervised experience” means the practical application of principles, methods, and procedures of the science of applied behavioral analysis in accordance with the requirements of § 5-86-9 .
  11. “Supervision” means that a licensed applied behavior analyst is at all times responsible for supportive personnel and clients.
  12. “These regulations” mean all parts of Rhode Island rules and regulations for licensing applied behavior analysts, applied behavior assistant analysts, and psychologists with equivalent experience.
  13. “Training” means the pre-professional or professional-supervised experience received by the person at the pre or post-doctoral level, that experience to have been obtained in an internship, clinic, or other similar professional setting.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-3. Licensing.

  1. Any individual licensed under this chapter may use the title “licensed applied behavior analyst” and the abbreviation “LBA” or the title “licensed applied behavior assistant analyst” and the abbreviation “LABA,” or the title “psychologist with equivalent experience,” provided that the title and abbreviation correspond to the license held pursuant to this chapter.
  2. It is unlawful for any person to represent herself or himself as a licensed applied behavior analyst, LBA, licensed applied behavior assistant analyst, LABA, or psychologist with equivalent experience, unless he or she is licensed as a licensed applied behavior analyst or licensed applied behavior assistant analyst or licensed as a psychologist with equivalent experience pursuant to the provisions of this chapter.
  3. A licensed applied behavior analyst, licensed applied behavior assistant analyst, or psychologist with equivalent experience, is not required to be an employee of a prescribing profession or organization, and may work for a public or private agency or in private practice in accordance with the requirements of § 5-86-9 .
  4. Licensed applied behavior analysts, licensed applied behavior assistant analysts, and psychologists with equivalent experience are responsible for following all applicable federal and state laws and regulations regarding the confidentiality of medical records.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-4. Board of applied behavior analysts — Creation — Composition.

Within the department of professional regulation in the department of health there shall be a Rhode Island applied behavior analyst licensing board consisting of five (5) members as provided by § 5-86-5 .

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-5. Board of applied behavior analysts — Appointment, terms, and removal of members.

  1. The director of the department of health shall, with the approval of the governor, appoint five (5) electors as members of the board. Three (3) members of the board shall be licensed applied behavior analysts; one member shall be a licensed applied behavior assistant analyst; and one shall be a consumer representative holding neither license. The licensed applied behavior analysts and licensed applied behavior assistant analyst shall have at least three (3) years’ professional experience with credentials comparable to those established in this chapter, be certified for a minimum of five (5) years by an appropriate nationally recognized accrediting organization as approved by the department of health.
  2. The director shall, with the approval of the governor, appoint persons to serve on the board. Two (2) of those members first appointed by the director of the department of health shall serve initial terms of three (3) years; two (2) of those members first appointed by the director of the department of health shall serve an initial term of two (2) years; and one of those members appointed by the director of the department of health shall serve an initial term of one year, thereafter all appointed members of the board shall be appointed to serve for terms of three (3) years.
  3. The board members are eligible to succeed themselves.
  4. The director may remove any member from the board for neglect of any duty required by law, or for incompetence, or unprofessional or dishonorable conduct. Vacancies shall be filled in the same manner as the original appointment was made, for the remainder of the term.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-6. Board of applied behavior analysts — Organization and meetings.

  1. The board shall organize immediately after the appointment and qualification of its members.
  2. The board shall annually elect a chairperson and secretary. Meetings may be called by the chairperson or the director of the department of health or by written request of three (3) members of the board. A majority of seats filled shall constitute a quorum. The board shall meet as often as necessary.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-7. Board of applied behavior analysts — General powers.

The Rhode Island applied behavior analyst licensing board shall:

  1. Recommend to the director for his or her approval the adoption and revision of rules and regulations not inconsistent with law as necessary to enable it to carry into effect the provisions of this chapter;
  2. Adopt policies to be followed in the licensure and renewal of licenses of qualified applicants in accordance with chapter 35 of title 42, of the administrative procedures act;
  3. Conduct hearings upon charges calling for the discipline of a license or revocation. The department has the power to issue subpoenas and compel the attendance of witnesses and administer oaths to persons giving testimony at hearings; and
  4. The board or the director shall prosecute all persons violating this chapter and has the power to incur the necessary expenses of prosecution. The board shall keep a record of all its proceedings, including, but not limited to, meeting minutes.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-8. Register of applied behavior analysts — Licensing records — Issuance of licenses.

The department shall maintain a register of all licensed applied behavior analysts, licensed applied behavior assistant analysts, and psychologists with equivalent experience under this chapter which shall be open at all reasonable times to public inspection and updated regularly. The department shall be the custodian of all records pertaining to the licensing of applied behavior analysts, applied behavior assistant analysts, and psychologists with equivalent experience.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-9. Qualifications and examinations for licensing.

  1. An applicant for licensure as a licensed applied behavior analyst shall submit to the board written evidence on forms furnished by the department that the applicant:
    1. Is of good moral character;
    2. Has obtained a graduate degree in applied behavior analysis or a related field, as approved by the board, from a college or university accredited by the New England Association of Schools and Colleges, or an equivalent regional accrediting agency, and that has the approval by a national or regional certifying authority, including, but not limited to, the applied behavior analyst licensing board;
    3. Has successfully completed the amount of coursework in applied behavior analysis acceptable to the board;
    4. Has appropriate supervised experience to include either: (i) One year, including one thousand five hundred (1,500) hours of supervised independent fieldwork in applied behavior analysis. The distribution of supervised independent fieldwork hours must be at least ten (10) hours per week, but not more than thirty (30) hours per week, for a minimum of three (3) weeks per month; (ii) One thousand (1,000) hours of practicum in behavior analysis within a university experience program approved by the national or regional certifying authority. The distribution of practicum hours must be at least ten (10) hours per week, but not more than twenty-five (25) hours per week, for a minimum of three (3) weeks per month; or (iii) Seven hundred fifty (750) hours of intensive practicum in behavior analysis within a university experience program approved by the national or regional certifying authority. The distribution of intensive practicum hours must be at least ten (10) hours per week, but not more than twenty-five (25) hours per week, for a minimum of three (3) weeks per month;
    5. Has passed the relevant examination administered by an appropriate nationally recognized accrediting organization as approved by the department of health for this function;
    6. Has maintained active status and fulfilled all relevant requirements for renewal and relicensing with the nationally recognized and accredited organization(s) as approved by the department of health licensing;
    7. Conducts his or her professional activities in accordance with accepted standards for responsible professional conduct, as approved by the Rhode Island applied behavior analyst licensing board; and
    8. Meets the criteria as established in § 5-86-12 .
  2. An applicant for licensure as a licensed applied behavior assistant analyst shall submit to the board written evidence on forms furnished by the department that the applicant:
    1. Is of good moral character;
    2. Has obtained a bachelor’s degree in behavior analysis or a related field, as approved by the board, from a college or university accredited by the New England Association of Schools and Colleges, or an equivalent regional accrediting agency, and that has the approval by a national or regional certifying authority, including, but not limited to, the applied behavior analyst licensing board;
    3. Has successfully completed the amount of coursework in applied behavior analysis acceptable to the board;
    4. Has appropriate supervised experience to include either: (i) One thousand (1,000) hours of supervised independent fieldwork in applied behavior analysis. The distribution of supervised independent fieldwork hours must be at least ten (10) hours per week, but not more than thirty (30) hours per week, for a minimum of (3) three weeks per month; (ii) Six hundred seventy (670) hours of practicum in behavior analysis within a university experience program approved by the national or regional certifying board. The distribution of practicum hours must be at least ten (10) hours per week, but not more than twenty-five (25) hours per week, for a minimum of three (3) weeks per month; or (iii) Five hundred (500) hours of intensive practicum in behavior analysis within a university experience program approved by the national or regional certifying board. The distribution of intensive practicum hours must be at least ten (10) hours per week, but not more than twenty-five (25) hours per week, for a minimum of three (3) weeks per month;
    5. Is supervised by a licensed applied behavior analyst in a manner consistent with the board’s requirements for supervision of licensed applied behavior assistant analysts;
    6. Has passed the examination administered by an appropriate nationally recognized accrediting organization as approved by department of health licensing for this function;
    7. Has maintained active status and fulfilled all relevant requirements for renewal and relicensing with the nationally recognized and accredited organization(s) as approved by the department of health licensing;
    8. Conducts his or her professional activities in accordance with accepted standards for responsible professional conduct, as required by the Rhode Island applied behavior analyst licensure board; and
    9. Meets the criteria as established in § 5-86-11 .
  3. An applicant shall be judged to hold the equivalent requirement of a licensure as an applied behavior analyst upon submission to the board, written evidence on forms furnished by the department if the following equivalency requirements are met to the satisfaction of the licensing board:
    1. Has received a doctoral degree in psychology from a college or university accredited by the New England Association of Schools and Colleges, or an equivalent regional accrediting agency, and that has the approval by a national or regional certifying authority;
    2. Is individually licensed by the department of health as a psychologist subject to chapter 44 of this title;
    3. Is of good moral character;
    4. Has completed coursework in applied behavior analysis supervised by the department within the college or university granting the requisite degree or by an accredited postgraduate clinical training program recognized by the United States Department of Education, or education and/or experience that is deemed equivalent by the board;
    5. Has completed one thousand five hundred (1,500) hours of direct client contact offering applied behavior analysis services subsequent to being awarded a doctoral degree in psychology;
    6. Conducts his or her professional activities in accordance with accepted standards for responsible professional conduct, as required by the Rhode Island applied behavior analyst licensure board; and
    7. Meets the criteria as established in § 5-86-12 .

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1; P.L. 2018, ch. 176, § 15; P.L. 2018, ch. 289, § 15; P.L. 2019, ch. 308, art. 1, § 31.

Effective Dates.

P.L. 2019, ch. 308, art. 2, § 16, provides that the amendment to this section by that act takes effect on December 31, 2019.

5-86-10. Licensure.

A license may be issued to:

  1. An applicant who meets the requirements for licensure as approved by the department of health and licensed as a licensed applied behavior analyst, licensed applied behavior assistant analyst, or psychologist with equivalent experience as stated in this chapter; and
  2. An applicant who has been certified by an appropriate nationally recognized and accredited organization, as approved by the department of health, licensing and licensed as a licensed applied behavior analyst, licensed applied behavior assistant analyst, or psychologist with equivalent experience under the laws of another state, United States territory, or foreign country where the board determines that the requirements are substantially equivalent to those of this state.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-11. Application fee.

The applicant applying for licensure as an applied behavior analyst, applied behavior assistant analyst, or psychologist with equivalent experience shall pay a fee of one hundred fifty dollars ($150) to the department.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-12. Limitation of practice.

The board shall ensure through regulations and enforcement that licensees limit their practice to demonstrated areas of competence as documented by relevant professional education, training, and experience.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-13. Expiration and renewal of licenses — Continuing education — Lapsed license.

  1. The license of every person licensed under the provisions of this chapter shall expire on the first (1st) day of July of the next even-numbered year following the issuance of his or her license.
  2. On or before the first day of May of each even-numbered year, the department shall mail an application for renewal of license to every person to whom a license has been issued or renewed during the cycle.
  3. Every licensed person who desires to renew his or her license shall file with the department a renewal application, executed, together with a renewal fee of one hundred and fifty dollars ($150), on or before the first (1st) day of June in each even-numbered year. Upon receipt of a renewal application and payment of the renewal fee, the accuracy of the application shall be verified and the department may grant a renewal license effective July 1st and expiring the June 30th in each even-numbered year.
  4. Every licensed person who desires to continue licensure as a licensed applied behavior analyst, licensed applied behavior assistant analyst, or psychologist with equivalent experience shall present satisfactory evidence to the board and approved by rule or regulation of the board that the licensed applied behavior analyst, licensed applied behavior assistant analyst, or psychologist with equivalent experience, has completed a prescribed course of continuing applied behavior analysis education.
  5. Any person who allows his or her license to lapse, by failing to renew it on or before June 1st in each even-numbered year, as provided in this section, may be reinstated by the department on payment of the current renewal fee, plus an additional fee of forty dollars ($40.00). Any person using the title licensed applied behavior analyst or licensed applied behavior assistant analyst or psychologist with equivalent experience offering services defined as the practice of behavior analysis under this chapter during the time his or her license has lapsed is subject to the penalties provided for violation of this chapter.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-14. Transfers to inactive list — Reinstatement.

  1. A licensed applied behavior analyst, licensed applied behavior assistant analyst, or the equivalent who does not intend to continue his or her licensure, upon written request to the department may have his or her name transferred to an inactive list, and shall not be required to pay the renewal fee as long as he or she remains inactive.
  2. Should a licensed applied behavior analyst, licensed applied behavior assistant analyst, or psychologist with equivalent experience wish to resume functioning as an applied behavior analyst, he or she must notify the department and remit his or her renewal fee in accordance with the rules and regulations promulgated hereunder within the immediate two (2) years prior to the applicant’s request for licensure.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-15. Receipts.

The proceeds of any fees collected pursuant to the provisions of this chapter shall be deposited as general revenues.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-16. Grounds for discipline.

The board has the power to deny, revoke, or suspend any license issued by the department in accordance with this chapter, or to discipline a licensee upon proof that the person:

  1. Is guilty of fraud or deceit in procuring, or attempting to procure, a license or temporary license;
  2. Is guilty of a felony or of a crime of immorality;
  3. Is habitually intemperate or is addicted to the use of habit-forming drugs;
  4. Is mentally incompetent;
  5. Is incompetent or negligent in the practice of applied behavior analysis as determined by the Rhode Island applied behavior analyst licensing board;
  6. Has not fulfilled the required continuing-education requirements as determined by the Rhode Island applied behavior analysis licensing board;
  7. Has violated the ethical principles governing applied behavior analysts and the practice of applied behavior analysis, as adopted by the board and in force at the time a charge is made, provided that those ethical principles are a nationally recognized standard;
  8. Has practiced as a licensed applied behavior assistant analyst or has performed the duties of a licensed applied behavior assistant analyst without proper supervision by a licensed applied behavior analyst pursuant to § 5-86-26 ;
  9. Has had their license revoked, suspended, privileges limited, or other disciplinary action in another state or jurisdiction, including the voluntary surrender of a license; or
  10. Has failed to furnish the department or its legal representative information requested by the board as part of a disciplinary action.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-17. Procedure for discipline.

  1. When a sworn complaint is filed with the board charging a person with being guilty of any of the actions specified in § 5-86-16 , the department shall immediately investigate those charges, or, the board, after investigation, may institute charges. The department may coordinate investigations of alleged violations of the Rhode Island applied behavior analyst licensing board with an appropriate nationally recognized accrediting organization.
  2. If the investigation reveals reasonable grounds for believing that the licensee or applicant for licensure is guilty of the charges, the board shall fix a time and place for a hearing, and shall serve a copy of the charges, together with a notice of the time and the place fixed for the hearing, personally upon the accused at least twenty (20) days prior to the time fixed for the hearing.
  3. When personal service cannot be effected and that fact is certified by oath by any person authorized to make service, the board shall publish once in each of two (2) successive weeks, a notice of the hearing in a newspaper published in the county where the accused last resided, according to the records of the board, and shall mail a copy of the charges and of the notice to the accused at his or her last-known address.
  4. When publication of notice is necessary, the date of the hearing shall not be less than twenty (20) days after the last date of publication of the notice.
  5. At the hearing, the accused has the right to appear personally or by counsel or both; to produce witnesses and evidence on his or her behalf; to cross-examine witnesses; and to have subpoenas issued by the administrator of professional regulation.
  6. The attendance of witnesses and the production of books, documents, and papers at the hearing may be compelled by subpoenas issued by the department, which shall be served in accordance with law.
  7. The department shall administer oaths as necessary for the proper conduct of the hearing.
  8. The board is not bound by the strict rules of procedure or by the laws of evidence in the conduct of its proceedings, but the determination shall be based upon sufficient legal evidence to sustain it.
  9. If the accused is found guilty of the charges, the board may refuse to issue a license to the applicant, or may revoke or suspend his or her license, or discipline that person.
  10. Upon the revocation or suspension of any license, the license holder shall surrender the license to the department, which shall indicate the same in the licensure verification database.
  11. A revocation or suspension of license may be reviewed at the discretion of the board, or at the initiative of the department, which may order a rehearing of the issue if it finds cause.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-18. Grounds for discipline without a hearing.

With the approval of the director, the board may temporarily suspend the license of a licensed applied behavior analyst, licensed applied behavior assistant analyst, or psychologist with equivalent experience without a hearing if the board finds that evidence in its possession indicates that a licensed applied behavior analyst, licensed applied behavior assistant analyst, or psychologist with equivalent experience continuing in practice would constitute an immediate danger to the public. In the event that the board temporarily suspends the license of a licensed applied behavior analyst, licensed applied behavior assistant analyst, or psychologist with equivalent experience without a hearing by the board, a hearing must be held within ten (10) days after the suspension has occurred.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-19. Penalty for violations.

  1. It is a misdemeanor for any person, in offering his or her services to the public, to:
    1. Use in connection with his or her name any designation tending to imply that he or she is a licensed applied behavior analyst, licensed applied behavior assistant analyst, or psychologist with equivalent experience to render services defined as the practice of behavior analysis, unless licensed under the provisions of this chapter;
    2. Use in connection with his or her name any designation tending to imply that he or she is a licensed applied behavior analyst, licensed applied behavior assistant analyst, or psychologist with equivalent experience to render services defined as the practice of behavior analysis, during the time his or her license issued under the provisions of this chapter is suspended or revoked; or
    3. Otherwise violate any of the provisions of this chapter or the rules and regulations promulgated hereunder.
  2. These misdemeanors shall be punishable by a fine of not more than five hundred dollars ($500) for each offense.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-20. Injunction of violations.

When it appears to the board that any person is violating any of the provisions of this chapter, the director may institute an action, commenced in the name of the board, to enjoin that violation in a court of competent jurisdiction. That court may enjoin any person from violating any of the provisions of this chapter, without regard to whether proceedings have been or may be instituted before the board or whether criminal proceedings have been or may be instituted.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-21. Persons and practices exempt.

  1. No provision of this chapter shall be construed to prevent members of other recognized professions who are licensed, certified, or regulated for independent practice of that profession under the laws of this state from rendering services consistent with their professional training and code of ethics and scope of practice as defined in the relevant licensure act, provided that they do not represent themselves to be licensed applied behavior analysts, licensed applied behavior assistant analysts, or psychologists with equivalent experience. Recognized members of the clergy shall not be restricted from functioning in their ministerial capacity, provided that they do not represent themselves to be applied behavior analysts, licensed applied behavior assistant analysts, or psychologists with equivalent experience.
  2. Nothing in this chapter shall be construed to prohibit teachers, guidance personnel, social workers, and school psychologists in public or private schools from full performance of their duties, nor to prohibit the use of applied behavior analytic techniques by business or industrial organizations or companies for employment, placement, evaluation, promotion, or job adjustment of their own officers or employees.
  3. Nothing in this section shall be construed as prohibiting the use of consultants who are defined as qualified intellectual disability professionals under the Code of Federal Regulations (C.F.R.) 42 C.F.R. § 483.430 by facilities licensed as intermediate-care facilities for people who are developmentally disabled by the department of behavioral healthcare, developmental disabilities and hospitals.
  4. Nothing in this chapter shall be construed as permitting licensed applied behavior analysts, licensed applied behavior assistant analysts, or psychologists with equivalent experience to practice medicine as defined by the laws of this state.
  5. Nothing in this section shall be construed as permitting those persons identified in subsections (b) and (f) of this section to offer their services to any persons or organizations other than those listed in subsection (f) of this section as consultants or to accept remuneration for any behavior analytic services other than that of their institutional salaries or fees unless they have been licensed under this chapter or exempted under subsection (a) of this section.
  6. Nothing in this section shall be construed as prohibiting those persons who are implementing applied behavior analysis services to an immediate family member or as a paid or volunteer caregiver, if the individual or caregiver does not represent himself or herself as a licensed applied behavior analyst, licensed applied behavior assistant analyst, or psychologist with equivalent experience.
  7. An applied behavior analyst licensed or certified in another state or United States territory may perform applied behavior analysis services in this state without obtaining a license for up to ten (10) calendar days per calendar year with no more than five (5) days of this activity occurring consecutively. The calendar day limit shall not apply to services as an expert witness in a legal proceeding.
  8. Nothing in this section shall be construed as prohibiting any person pursuing a supervised course of study leading to a degree or certificate in applied behavior analysis at an accredited or approved educational program if the person is designated by a title that clearly indicates his or her status as a student or trainee.
  9. Nothing in this section shall be construed as prohibiting any persons fulfilling the supervised fieldwork experience requirement of this section.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-22. Enforcement.

The director shall enforce the provisions of this chapter. He or she, or his or her authorized agents, and the board shall be exempt from providing surety for costs in connection with the commencement of any legal proceedings under this chapter.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-23. Rules governing practices and procedures.

All hearings and reviews required under the provisions of chapter 44 of this title, as amended, shall be held in accordance with the provisions of the rules and regulations of the Rhode Island department of health regarding practices and procedures before the department of health and access to public records of the department of health (R42-35-PP).

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-24. Appeals from director and board.

Any person aggrieved by any decision or ruling of the director or the board may appeal to the superior court in the manner provided in the administrative procedures act, chapter 35 of title 42.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-25. Applicability of other laws.

This chapter shall be subject to the provisions of chapter 2 of title 38 (“access to public records”) and chapter 46 of title 42 (“open meetings”) and, in addition, the members of the board shall be subject to the provisions of chapter 14 of title 36 (“code of ethics”).

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-26. Supervision.

  1. A licensed applied behavior analyst shall exercise sound judgment and shall provide care within the scope of practice or guidelines in the performance of his or her duties. A licensed applied behavior analyst shall be permitted to supervise the following: applied behavior analysts, applied behavior assistant analysts, applied behavior analyst aides, care extenders, applied behavior analyst students, and volunteers.
  2. Subject to the requirements of this section, a licensed applied behavior assistant analyst may practice limited applied behavior analysis only under the supervision of a licensed applied behavior analyst. Supervision requires, at a minimum, that the supervising licensed applied behavior therapist meet in person with the licensed applied behavior assistant analyst to provide initial direction and periodic on-site supervision. The supervising licensed applied behavior analyst working with the applied behavior assistant analyst shall determine the amount and type of supervision necessary in response to the experience and competence of the licensed applied behavior assistant analyst and the complexity of the treatment program. The supervisor and the licensed applied behavior assistant analyst shall be jointly responsible for maintaining records, including patient records, to document compliance with this regulation.
  3. A licensed applied behavior assistant analyst:
    1. May not initiate a treatment program until the patient has been evaluated and the treatment planned by the licensed behavior analyst;
    2. May not perform an evaluation, but may assist in the data-gathering process and administer specific assessments where clinical competency has been demonstrated, under the direction of the licensed applied behavior analyst;
    3. May not analyze or interpret evaluation data;
    4. May participate in the screening process by collecting data and communicate the information gathered to the licensed applied behavior analyst;
    5. Monitors the need for reassessment and reports changes in status that might warrant reassessment or referral under the supervision of the licensed applied behavior analyst; and
    6. Immediately discontinues any treatment procedure, which appears harmful to the patient and immediately notifies the supervising applied behavior analyst.
  4. An applied behavior analyst aide shall be a worker trained on the job. A licensed applied behavior analyst using applied behavior analyst aide personnel to assist with the provision of applied behavior analysis services must provide close supervision in order to protect the health and welfare of the consumer.
  5. The primary function of an applied behavior analyst aide shall be to perform designated routine tasks related to the operation of applied behavior analysis service.
  6. The licensed applied behavior analyst shall not delegate to an applied behavior analyst aide:
    1. Performance of applied behavior analysis evaluation procedures;
    2. Initiation, planning, adjustment, modification, or performance of applied behavior analyst procedures requiring the skills or judgment of a licensed applied behavior analyst;
    3. Acting on behalf of the applied behavior analyst in any matter related to applied behavior analysis, that requires decision making or professional judgment.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

5-86-27. Severability.

The provisions of this chapter are severable, and if any provision hereof shall be held invalid in any circumstances, any invalidity shall not affect any other provisions or circumstances. This chapter shall be construed in all respects so as to meet any constitutional requirements. In carrying out the purposes and provisions of this chapter, all steps shall be taken that are necessary to meet constitutional requirements.

History of Section. P.L. 2012, ch. 318, § 1; P.L. 2012, ch. 338, § 1.

Chapter 87 Service Member Licensure

5-87-1. Service member licensure.

  1. The director and each member of the examining and licensing boards shall, upon presentation of satisfactory evidence by an applicant for certification or licensure, accept education, training, or service completed by an individual as a member of the Armed Forces or Reserves of the United States, the National Guard of any state, the Military Reserves of any state, or the Naval Militia of any state toward the qualifications to receive the license or certification. The director and each appropriate examining and licensing board shall promulgate rules to implement this section.
  2. Each business/profession-related board shall establish a procedure to expedite the issuance of a license, certification, or permit to perform professional services regulated by each such board to a person who is certified or licensed in another state to perform professional services in a state other than Rhode Island. The procedure shall include:
    1. Issuing the person a license, certificate, or permit, if, in the opinion of the board, the requirements for certification or licensure of such other state are substantially equivalent to that required in this state; or
    2. Developing a method to authorize the person to perform professional services regulated by the board in this state by issuing the person a temporary permit for a limited period of time to allow the person to perform professional services while completing any specific requirements that may be required in this state that were not required in the state in which the person was licensed or certified.

History of Section. P.L. 2013, ch. 287, § 1; P.L. 2013, ch. 386, § 1.

Chapter 88 Military Spouse Licensure

5-88-1. Military spouse licensure.

  1. Notwithstanding any other law to the contrary, each business/profession-related board shall establish a procedure to expedite the issuance of a license, certification, or permit to perform professional services regulated by each such board to a person:
    1. Who is certified or licensed in another state to perform professional services in a state other than Rhode Island;
    2. Whose spouse is a member of the armed forces of the United States;
    3. Whose spouse is the subject of a military transfer to Rhode Island; and
    4. Who left employment to accompany the person’s spouse to Rhode Island.
  2. The procedure shall include:
    1. Issuing the person a license, certificate, or permit, if, in the opinion of the board, the requirements for certification or licensure of such other state are substantially equivalent to that required in this state; or
    2. Developing a method to authorize the person to perform professional services regulated by the board in this state by issuing the person a temporary permit for a limited period of time to allow the person to perform professional services while completing any specific requirements that may be required in this state that were not required in the state in which the person was licensed or certified.

History of Section. P.L. 2013, ch. 287, § 3; P.L. 2013, ch. 386, § 3.

Chapter 89 Transparency and Sustainability Standards for Rhode Island Businesses Act

5-89-1. Purpose.

The purpose of this chapter is to support Rhode Island business entities in their global sustainability efforts by providing this enabling legislation that permits a Rhode Island entity to signal its commitment to global sustainability. This chapter does not purport to prescribe which sustainability standards an entity chooses to adopt. Thus, a Rhode Island entity is free to choose standards promulgated or developed by any entity.

History of Section. P.L. 2019, ch. 186, § 1; P.L. 2019, ch. 206, § 1.

Compiler’s Notes.

P.L. 2019, ch. 186, § 1, and P.L. 2019, ch. 206, § 1 enacted identical versions of this chapter.

Effective Dates.

P.L. 2019, ch. 186, § 2, provides that this chapter takes effect on January 1, 2020.

P.L. 2019, ch. 206, § 2, provides that this chapter takes effect on January 1, 2020.

5-89-2. Legislative findings.

The legislature finds that:

  1. The state of Rhode Island is committed to initiatives designed to support sustainability practices by providing a platform for manufacturers and businesses to demonstrate their corporate commitment to social responsibility and sustainability.
  2. The Rhode Island department of environmental management has a suite of voluntary green certification programs for the hospitality and tourism industry, landscapers, golf courses, and other industries.
  3. In recognition of the increasing interest from investors, customers, and employees for greater transparency in sustainability practices, this legislation provides Rhode Island businesses a means to demonstrate to their customers, investors, and employees that they are committed to sustainability that embodies business practices and systems that are designed to foster innovation and long-term profits as well as environmental and societal benefits.
  4. Rhode Island’s program shall be implemented by way of voluntary enabling legislation and applies only to those who seek to become certified as reporting entities. There is no single blueprint for best practices in sustainability among or within industries, and this legislation shall allow businesses to craft a sustainability blueprint that meets their specific needs, provided that the entity’s governing body approves its standards and assessment measures and that they are made publicly available.

History of Section. P.L. 2019, ch. 186, § 1; P.L. 2019, ch. 206, § 1.

5-89-3. Definitions.

As used in this chapter only, the following terms shall have the following meanings:

  1. “Acknowledged” means with respect to any document or instrument required to be executed by an authorized person pursuant to this chapter, the authorized person executing the document or instrument has certified, under penalty of perjury, that the information set forth in the document or instrument is accurate and complete to the best of the authorized person’s actual knowledge after due inquiry.
  2. “Assessment measures” means with respect to any entity, the policies, procedures, or practices adopted by the entity to adduce objective factual information to assess the entity’s performance in meeting its standards, including any procedures for internal or external verification of the information.
  3. “Authorized person” means, with respect to any entity, any person or entity who has been duly authorized in accordance with the organizational documents of the entity and the laws of this state (whether statutory, common law or otherwise) under which the entity is incorporated, formed, or organized to execute the documents and instruments and make the acknowledgments as are required by this chapter.
  4. “Certification of adoption of transparency and sustainability standards” means a certificate, issued by the department of environmental management, attesting that a reporting entity has fulfilled sustainability metrics and filed with the secretary of state a standards statement pursuant to this chapter. The certificate shall state on its face that the state has not reviewed the contents or implementation of the matters referenced in the standards statement, nor verified any reports made by the reporting entity.
  5. “Control,” including the terms “controlling,” “controlled by,” and “under common control with,” means the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of a person or entity, whether through the ownership of equity or other voting securities, by contract or otherwise.
  6. “Entity” means any corporation (stock or nonstock), or a limited-liability company, existing under the applicable laws of this state.
  7. “Governing body” means the board of directors or equivalent governing body, person, or entity having the power to manage and direct the business and affairs of the entity, and shall include any duly authorized and empowered committee of the board of directors or equivalent governing body.
  8. “Nonreporting entity” means any person or entity (including any entity) that is not a reporting entity.
  9. “Organizational documents” means the certificate of incorporation, bylaws, partnership agreement, limited-liability company agreement, articles of association or other agreement, document, or instrument containing the provisions by which an entity is formed or organized and by which its internal affairs are governed, in each case as amended, modified, supplemented, and/or restated and in effect as of any date of determination.
  10. “Provider” means, as to any entity, any third party that is engaged to provide professional consulting services or advice to assist entities or enterprises in measuring, managing, or reporting the impact of their business and operations on issues of social and environmental impact.
  11. “Report” means a report with respect to a reporting period for a reporting entity containing the following:
    1. A summary of the standards and assessment measures in effect during the applicable reporting period, which summary shall include the third-party criteria and any other source used to develop the entity’s standards and assessment measures and the process by which they were identified, developed, and approved by the entity;
    2. A summary of the actions or activities by which the entity has sought to meet the standards during the applicable reporting period, including engagement with and disclosure to stakeholders, if any;
    3. The most recent available objective and factual information developed pursuant to the assessment measures, if any, with respect to the entity’s performance in meeting its standards during the reporting period, and an assessment by the governing body whether the entity has been successful in meeting the standards, and in the case of any failure to meet the standards, a summary of any additional efforts the governing body has determined the entity will undertake to improve its performance in respect thereof, or its determination not to undertake the additional efforts;
      1. The identity of any provider assisting the entity in measuring, managing, or reporting the impact of the entity’s business and operations in light of its standards; or
      2. A statement that the entity has not engaged the services of any provider for these purposes;
    4. A summary of any changes to the standards, assessment measures, or reporting period, the process by which the changes were identified, developed, and approved by the entity, and the third-party criteria used to develop any changes to the standards;
    5. A summary of the actions or activities planned for the next succeeding reporting period with respect to measuring, managing, and reporting with respect to the standards if the actions and activities are materially different from those described for the applicable reporting period; and
    6. Notwithstanding the foregoing, no entity shall be required to include in any report any information that the entity determines in good faith is subject to an attorney-client or other applicable privilege or would result in the disclosure of trade secrets or other competitively sensitive information.
  12. “Reporting entity” means an entity that has been issued a certificate of adoption of transparency and sustainability standards and that has not become and continues to be a nonreporting entity pursuant to § 5-89-6 .
  13. “Reporting period” means a period of one year, the initial period to begin not more than one year following the filing of the standards statement, and subsequent reporting periods to begin on the day following the last date of the prior reporting period, unless a governing body elects to shorten the duration of a reporting period that has not begun in order to change the start date for subsequent reporting periods.
  14. “Standards” means, with respect to an entity, the principles, guidelines, or standards adopted by the entity to assess and report the impacts of its activities on society and the environment, which principles, guidelines, or standards shall be based on or derived from third-party criteria. The Rhode Island department of environmental management green certification standards may be used as initial guidelines for all applicants in businesses covered by the certification program.
  15. “Standards statement” means the filing described in § 5-89-5 .
  16. “Third party” means, with respect to any entity, any person or entity other than any person or entity that controls, is controlled by, or under common control with the entity, including any governmental or nongovernmental organization that provides services, standards, or criteria with respect to measuring, managing, or reporting the social and environmental impact of businesses or other enterprises.
  17. “Third-party criteria” means any principles, guidelines, or standards developed and maintained by a third party (including a provider) that are used to assist businesses or other enterprises in measuring, managing, or reporting the social and environmental impact of businesses or other entities.

History of Section. P.L. 2019, ch. 186, § 1; P.L. 2019, ch. 206, § 1.

5-89-4. Certificate of adoption of transparency and sustainability standards.

  1. The secretary of state, in coordination with the director of the department of environmental management, shall issue a certificate of adoption of transparency and sustainability standards to any entity if the secretary of state shall have determined that the following conditions have been satisfied:
    1. The entity shall have executed and acknowledged, and delivered to the secretary of state, a standards statement;
    2. The entity shall have paid all fees and costs assessed by the secretary of state; and
    3. The entity remains a reporting entity, and if the entity is registered or formed with the secretary of state, it is in good standing upon the records of the secretary of state.
  2. Each reporting entity shall, for all purposes of the laws of this state, be authorized and permitted to disclose, publicly or privately, that it is a reporting entity.
  3. The secretary of state is hereby authorized to promulgate rules and regulations necessary to implement this chapter and shall issue any such certificate required pursuant to this chapter and shall further be permitted to charge a reasonable fee for any certificates issued and/or renewed.

History of Section. P.L. 2019, ch. 186, § 1; P.L. 2019, ch. 206, § 1.

5-89-5. Statement of adoption of transparency and sustainability standards.

If the governing body of an entity has adopted resolutions setting forth the entity’s standards and assessment measures, the entity may file a standards statement that:

  1. Acknowledges that the governing body of the entity has adopted resolutions setting forth the entity’s standards and assessment measures;
  2. Identifies an internet link on the principal website maintained by or on behalf of the entity at which the standards and assessment measures, the third-party criteria used to develop the standards, a description of the process by which the standards were identified, developed, and approved and any report filed or to be filed by the entity are and will be readily available at no cost and without the requirement of the provision of any information, and will remain available for so long as the entity remains a reporting entity (the “website”);
  3. Acknowledges that the entity has agreed to acknowledge and deliver to the secretary of state, its most recent report concurrently with its annual report as specified in § 7-1.2-1501 , § 7-6-90 , or § 7-16-66 ;
  4. Acknowledges that the entity has committed to:
    1. Use the assessment measures to assess the entity’s performance in meeting its standards;
    2. Review and assess its standards and assessment measures from time to time, and make changes thereto as the governing body in good faith determines are necessary or advisable in furtherance of meeting the entity’s standards;
    3. Prepare and make readily available to the public at no cost and without the requirement of the provision of any information (by posting on the website at the identified internet link) a copy of its report within ninety (90) days of the end of each reporting period; and
  5. Is acknowledged by an authorized person.

History of Section. P.L. 2019, ch. 186, § 1; P.L. 2019, ch. 206, § 1.

5-89-6. Reporting entity status — Renewal statement.

  1. A reporting entity shall become a nonreporting entity on January 1 of the following year if the reporting entity shall have failed to submit the renewal statement to the secretary of state in accordance with this chapter without the need for further action by the secretary of state. A reporting entity’s renewal statement shall:
    1. Acknowledge that any changes since its most recent filing of a renewal statement or restoration statement, or, if no renewal statement or restoration statement has been filed, since the filing of its standards statement, to its address within the state or standards and assessment measures, and a description of the process by which the changes were identified, developed, and approved by the entity and the third-party criteria used to develop any changes to the standards are available on the website;
    2. Acknowledge that, for the most recent reporting period for which a report was required to be made available, if any, a report was made available on the website in accordance with this chapter within the time period provided for in § 5-89-5(4)(iii) ;
    3. Provide an internet link to the report for the most recent reporting period, if any, on the website; and
    4. Be acknowledged by an authorized person.
  2. No standards statement shall be accepted by the secretary of state for an entity if it has become a nonreporting entity pursuant to subsection (a) of this section within the prior year.

History of Section. P.L. 2019, ch. 186, § 1; P.L. 2019, ch. 206, § 1.

5-89-7. Restoration statement.

  1. If any reporting entity shall become a nonreporting entity for failure to file a renewal statement, it may file a restoration statement. The restoration statement shall:
    1. Acknowledge that any changes since its most recent filing of a renewal statement or restoration statement, or, if no renewal statement or restoration statement has been filed, since the filing of its standards statement, to its address within the state or standards and assessment measures, and a description of the process by which the changes were identified, developed, and approved by the entity and the third-party criteria used to develop any changes to the standards are available on the website;
    2. Acknowledge that a report for all the reporting periods ended more than ninety (90) days prior to filing the restoration statement have been made available on the website in accordance with this chapter;
    3. Provide an internet link on the website to the report for the most recent reporting period and any other reporting period for which an internet link has not been previously provided in a renewal statement or restoration statement; and
    4. Be acknowledged by an authorized person.
  2. Any nonreporting entity that files a restoration statement shall thereupon automatically become a reporting entity, without the need for further action by the secretary of state.

History of Section. P.L. 2019, ch. 186, § 1; P.L. 2019, ch. 206, § 1.

5-89-8. Limitation of liability.

Neither the failure by an entity to satisfy any of its standards, nor the selection of specific assessment measures, nor any other action taken by or on behalf of the entity pursuant to this chapter, or any omission to take any action required by this chapter to seek, obtain, or maintain status as a reporting entity, shall, in and of itself, create any right of action on the part of any person or entity or otherwise give rise to any claim for breach of any fiduciary or similar duty owed to any person or entity.

History of Section. P.L. 2019, ch. 186, § 1; P.L. 2019, ch. 206, § 1.

5-89-9. Fees.

No document required to be filed under this chapter shall be effective until the applicable fees required by this section are paid and upon the receipt of a statement under § 5-89-5 , the fee for which shall be one hundred dollars ($100); or a renewal statement under § 5-89-6 , the fee for which shall be ten dollars ($10.00); or a restoration statement under § 5-89-7 , the fee for which shall be fifty dollars ($50.00), shall be paid to and collected by the secretary of state.

History of Section. P.L. 2019, ch. 186, § 1; P.L. 2019, ch. 206, § 1.

5-89-10. Enabling.

This act is enabling and applies only to those businesses that seek to become certified as a reporting entity and that comply with all applicable registration requirements. Reporting entities are enabled to craft whatever sustainability blueprint they require that meets their specific needs as there is no single blueprint for best practices in sustainability among or within industries.

History of Section. P.L. 2019, ch. 186, § 1; P.L. 2019, ch. 206, § 1.

Chapter 90 Ryan’s Law

5-90-1. Authority to fine healthcare professionals and assess administrative costs.

    1. Any licensing board responsible for governing the professional conduct of individuals with the authority to prescribe controlled substances shall have the authority to assess a fine against a licensee who has been found guilty of unprofessional conduct and/or violating any provision of the general laws, any rule, any regulation, any order, any license, or any approval issued by the director.
      1. No such fine shall be assessed for the first charge or count against a licensee.
      2. Any fine assessed against a licensee for the second charge or count, regardless if the charge or count appears on the first complaint or a subsequent complaint, shall not exceed one thousand dollars ($1,000).
      3. Any fine assessed against a licensee for each charge or count subsequent to the second charge or count, regardless if the charge or count appears on the first complaint or a subsequent complaint, shall not exceed five thousand dollars ($5,000).
  1. Any licensee who fails to pay an assessed fine within the time period prescribed by the relevant licensing board shall be subject to disciplinary action, up to and including revocation.
  2. When an individual licensed by a board described in subsection (a):
    1. Concurrently holds at least one other license issued by a regulatory entity subject to the jurisdiction of the department; and
    2. Fails to comply with any provision of the general laws, any rule, any regulation, any order, any license, or any approval issued by the director, only one board may issue a fine for the licensed individual’s unprofessional conduct in connection therewith.
  3. Prior to the assessment of a fine under this section, the department of health shall adopt rules and regulations providing guidance on the appropriate range of sanctions and the criteria to be considered when recommending specific sanctions or administrative monetary penalties to the director.
  4. Any licensing board responsible for governing the professional conduct of individuals with the authority to prescribe controlled substances shall have the authority to assess against the individual the administrative costs of the proceedings instituted against the licensee under this chapter; provided that, this assessment shall not exceed five thousand dollars ($5,000), except for those individuals licensed under chapter 37 of this title.

History of Section. P.L. 2021, ch. 396, § 2, effective July 14, 2021; P.L. 2021, ch. 397, § 2, effective July 14, 2021.

Compiler's Notes.

P.L. 2021, ch. 396, § 2, and P.L. 2021, ch. 397, § 2 enacted identical versions of this chapter.

P.L. 2022, ch. 113, 114, § 1, effective June 21, 2022, changed the title of this chapter from “Authority to Fine Healthcare Professionals” to “Ryan's Law”.