ARTICLE 12 SUBSTITUTE A AS
AMENDED
RELATING TO
LICENSES AND FEES
SECTION 1. Section 19-14-4 of the General Laws in Chapter
19-14 entitled "Licensed
Activities" is hereby
amended to read as follows:
19-14-4.
Annual fee. [Effective December 31, 2008.] -- (a) Each licensee shall pay an
annual license fee as follows:
(1) Each small loan
lender license and each branch certificate, the sum of five hundred
fifty dollars ($550);
(2) Each loan broker
license and each branch certificate, the sum of five hundred fifty
dollars ($550);
(3) Each lender license
and each branch certificate, the sum of one thousand one hundred
dollars ($1,100);
(4) Each sale of checks
license, the sum of three hundred dollars ($300) three hundred
sixty dollars ($360);
(5) Each check cashing
license, the sum of three hundred dollars ($300) three hundred
sixty dollars ($360);
(6) Each electronic
money transfer license, the sum of three hundred dollars ($300) three
hundred sixty dollars ($360);
(7) Each registration
to provide debt-management services, the sum of two hundred
dollars ($200); and
(8) Each mortgage loan
originator license, the sum of one hundred dollars ($100).
(b) Any licensee who
shall not pay the annual fee by December 31 of each year shall be
subject to a daily penalty of twenty-five dollars ($25) per
day, subject to a maximum of seven
hundred fifty dollars ($750). The penalty shall be paid to the
director to and for the use of the
state. The penalty may be waived for good cause by the
director or the director's designee, upon
written request.
SECTION 2. Section 19-28.1-29 of the General Laws in Chapter
19-28.1 entitled
"Franchise Investment
Act" is hereby amended to read as follows:
19-28.1-29.
Fees. -- (a) The director
shall charge and collect the fees fixed by this
section. The director shall not refund fees.
(b) The fee for filing
an application for initial registration of a franchise under section
19-28.1-9 is five hundred dollars ($500) six
hundred dollars ($600).
(c) The fee for filing
a notice of exemption under section 19-28.1-6 is three hundred
dollars ($300) three
hundred sixty dollars ($360).
(d) The fee for filing
an application for renewal of a registration under section 19-28.1-9
is two hundred fifty dollars ($250) three
hundred dollars ($300).
(e) The fee for filing
a request for an amendment to an application under section 19-
28.1-11 is one hundred dollars ($100) one
hundred twenty dollars ($120).
(f) The fee for filing
a request for an interpretive opinion under section 19-28.1-27(c) is
three hundred dollars ($300).
(g) The fee for filing
advertising is ten dollars ($10.00) per item.
SECTION 3. Section 7-11-206 of the General Laws in Chapter
7-11 entitled "Rhode
7-11-206.
Licensing and notice fees; and filing requirements for federal covered
advisers. -- (a)
A federal covered adviser or an applicant for
licensing shall pay an annual fee as
follows:
(1) Broker dealer two
hundred and fifty dollars ($250) three hundred dollars ($300) and
for each branch office one hundred dollars ($100);
(2) Sales
representative fifty dollars ($50.00) sixty dollars ($60);
(3) Investment adviser two
hundred and fifty dollars ($250); three hundred dollars
($300); and
(4) Investment adviser
representative fifty dollars ($50.00). sixty
dollars ($60); and
(5) Federal covered
adviser two hundred and fifty dollars ($250).
(b) Except with respect
to federal covered advisers whose only clients are those
described in section 7-11-204(1)(i),
a federal covered adviser shall file any documents filed with
the U.S. Securities and Exchange Commission with the
director, that the director requires by rule
or order, together with any notice fee and consent to
service of process that the director requires
by rule or order. The notice filings under this
subsection expire annually on December 31, unless
renewed.
(c) A notice filing
under this section is effective from receipt until the end of the
calendar year. A notice filing may be renewed by filing any
documents that have been filed with
the U.S. Securities and Exchange Commission as required
by the director along with a renewal
fee of two hundred fifty dollars ($250).
(d) A federal covered
adviser may terminate a notice filing upon providing the director
notice of the termination, which is effective upon receipt
by the director.
(e) Notwithstanding the
provisions of this section, until October 11, 1999, the director
may require the registration as an investment adviser of
any federal covered adviser who has
failed to promptly pay the fees required by this section
after written notification from the director
of the non-payment or underpayment of the fees. A
federal covered adviser is considered to have
promptly paid the fees if they are remitted to the director
within fifteen (15) days following the
federal covered adviser's receipt of written notice from the
director.
(f) For purposes of
this section, "branch office" means any location where one or more
associated persons of a broker-dealer regularly conducts the business
of effecting any transactions
in, or inducing or attempting to induce the purchase or
sale of any security, or is held out as such,
excluding:
(1) Any location that
is established solely for customer service and/or back office type
functions where no sales activities are conducted and that is
not held out to the public as a branch
office;
(2) Any location that
is the associated person's primary residents; provided that:
(i)
Only one associated person, or multiple associated persons who reside at that
location
and are members of the same immediate family, conduct
business at the location;
(ii) The location is
not held out to the public as an office and the associated person does
not meet with customers at the location;
(iii) Neither customer
funds nor securities are handled at that location;
(iv)
The associated person is assigned to a designated branch office, and
such designated
branch office is reflected on all business cards,
stationery, advertisements and other
communications to the public by such associated person;
(v) The associated
person's correspondence and communications with the public are
subject to the firm's supervision in accordance with Rule
3010 of the Financial Industry
Regulatory Authority;
(vi)
Electronic communications are made through the broker-dealer's
electronic system;
(vii) All orders are
entered through the designated branch office or an electronic system
established by the broker-dealer that is reviewable
at the branch office;
(viii) Written
supervisory procedures pertaining to supervision of sales activities
conducted at the residence are maintained by the broker-dealer;
and
(ix) A list of the
residence locations is maintained by the broker-dealer;
(3) Any location, other
than a primary residence, that is used for securities business for
less than thirty (30) business days in any one calendar
year, provided the broker-dealer complies
with the provisions of paragraph (f)(2)(i) through (ix) above;
(4) Any office of
convenience, where associated person occasionally and exclusively by
appointment meet with customers, which is not held out to the
public as an office.
(5) Any location that
is used primarily to engage in non-securities activities and from
which the associated person(s) effects no more than
twenty-five (25) securities transactions in any
one calendar year; provided that any advertisement or
sales literature identifying such location
also sets forth the address and telephone number of the
location from which the associated
person(s) conducting business at the non-branch locations are
directly supervised;
(6) The floor of a
registered national securities exchange where a broker-dealer conducts
a direct access business with public customers.
(7) A temporary
location established in response to the implementation of a business
continuity plan.
(8) Notwithstanding the
exclusions in paragraph (f), any location that is responsible for
supervising the activities of persons associated with the
broker-dealer at one or more non-branch
locations of the broker-dealer is considered to be a branch
office.
(9) The term
"business day" as used in subsection 7-11-206(f) shall not include
any
partial business day provided that the associated person
spends at least four (4) hours on such
business day at his or her designated branch office during the
hours that such office is normally
open for business.
(10) Where such office
of convenience is located on bank premises, signage necessary to
comply with applicable federal and state laws, rules and
regulations and applicable rules and
regulations of the New York Stock Exchange, other self-regulatory
organizations, and securities
and banking regulators may be displayed and shall not be
deemed "holding out" for purposes of
subdivision 7-11-206(f)(iv).
(g) If an application
is denied or withdrawn or the license is revoked, suspended, or
withdrawn, the director is not required to refund the fee paid.
(h) The director may
issue a stop order suspending the activities of a federal covered
adviser in this state if the director reasonably believes
there has been a violation of the provisions
of this section.
SECTION 4. Sections 5-53.1-2 and 5-53.1-8 of the General
Laws in Chapter 5-53.1
entitled "Solicitation by Charitable Organizations"
are hereby amended to read as follows:
5-53.1-2.
Registration of charitable organizations. -- (a) Every charitable organization,
except as otherwise provided in section 5-53.1-3, which
acts, operates, transacts business in this
state or which 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 fund raisers or fund raising 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 section 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 which is merely transferred by or through a
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 fund raising 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; and
(b) 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
subdivisions (a)(3), (a)(7), (a)(8), (a)(11), and (a)(13) of this
section.
(c) 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.
(d) For filing the
registration, the department shall receive a fee of seventy-five dollars
($75.00), ninety dollars ($90), to be paid at the time
of registration.
(e) 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.
(f) 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 subdivisions
(a)(1), (a)(3), (a)(4),
(a)(5), (a)(6), (a)(7), (a)(8), (a)(9) and (a)(13) of this section.
(g) Registration statements,
financial reports, professional fund raisers' 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.
(h) No charitable
organization, professional fund raiser or fund raising 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.
(i)
The department may enter into reciprocal agreements with the appropriate
authorities
of any other state or the
information under this chapter.
5-53.1-8.
Professional fund raisers and fund raising counsel. -- (a) No person
shall act,
operate or transact business as a professional fund raiser or
fund raising 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 dollars ($200) two
hundred forty dollars ($240). A professional
fund raiser 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.
(b) A professional fund
raiser and fund raising counsel shall maintain accurate and
current books and records of all activities while required to
be registered under subsection (a) of
this section; 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 fund raiser or fund raising 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.
SECTION 5. Sections 27-2.1-1 and 27-2.1-2 of the General
Laws in Chapter 27-2.1
entitled "Additional Fees for Foreign Insurance
Companies" are hereby amended to read as
follows:
27-2.1-1. New application fee. -- Any foreign insurance
company applying for licensure
within the state of
submit to the insurance commissioner a non-refundable
application fee of one thousand dollars
($1,000). Any foreign insurance company that has previously
filed an application for licensure
within the state of
non-refundable filing fee of one thousand dollars ($1,000) one
thousand two hundred dollars
($1,200) to keep the application current.
27-2.1-2.
Review of application fee. -- Whenever any foreign
insurance company has
made application to transact insurance business within the
state and the application is to be
reviewed by the insurance division, as a condition precedent
to the review, the company shall pay
to the insurance commissioner a non-refundable fee of one
thousand five hundred dollars
($1,500) one
thousand eight hundred dollars ($1,800) to cover the costs of the review by
the
insurance division.
SECTION 6. Sections 27-10-3 and 27-10-7 of the General Laws
in Chapter 27-10
entitled "Claim Adjusters" are hereby amended to
read as follows:
27-10-3.
Issuance of license. -- (a) The
insurance commissioner may, upon the payment
of a license fee established by the
commissioner, of one hundred twenty dollars ($120) plus an
application fee established by the commissioner, issue to any person a license to act as an
insurance claims adjuster once that person satisfies the
reasonable requirements for the issuance
of the license, as established by the commissioner.
(b) A
obtain an insurance adjusters license. Application shall be
made using the uniform business entity
application. Prior to approving the application, the commissioner
shall find both of the following:
(1) The business entity
has paid the appropriate fees.
(2) The business entity
has designated a licensed adjuster responsible for the business
entity's compliance with the insurance laws and rules of this
state.
27-10-7.
Term of license -- Renewal -- Suspension or revocation. --
The insurance
commissioner shall promulgate rules and regulations mandating the
term of licensure for any
claim adjuster license. No license shall remain in force
for a period in excess of four (4) years.
Nothing in this section shall be construed to limit
the authority of the insurance commissioner to
sooner suspend or revoke any claim adjuster license. Any
action for suspension or revocation of
any claim adjuster license shall be in accordance with
the Administrative Procedures Act, chapter
35 of title 42, upon proof that the license was
obtained by fraud or misrepresentation, or that the
interests of the insurer or the interests of the public are not
properly served under the license, or
for cause. No claim adjuster license shall be issued by
the commissioner to a person whose
license has been suspended or revoked within three (3) years
from the date of that revocation or
suspension. Each license shall be renewed upon payment of a fee
assessed at an annual rate of
fifty dollars ($50.00). sixty dollars ($60). The fee
for the total term of licensure shall be payable
at the time of renewal.
SECTION 7. Section 27-10.1-1 of the General Laws in Chapter
27-10.1 entitled "Motor
Vehicle Damage
Appraisers" is hereby amended to read as follows:
27-10.1-1. Purpose
of chapter -- Issuance of license -- Penalties -- Renewal --
Revocation or suspension. -- (a) The purpose of this chapter is to subject certain
individuals to
the jurisdiction of the insurance commissioner. The
legislature declares that it is concerned with
the business of appraising damaged automobiles and to
this end authorizes the insurance
commissioner to regulate that business. No person shall act as an
appraiser for motor vehicle
physical damage claims on behalf of any insurance company or
firm or corporation engaged in
the adjustment or appraisal of motor vehicle claims
unless that person has first secured a license
from the insurance commissioner and has paid a license fee
of fifty dollars ($50.00) sixty dollars
($60.00) for each fiscal year or fraction of a year. The license shall be issued only upon the
successful passage of the examination that shall be administered
at the discretion of the insurance
commissioner, but in no event less than quarterly. Each person
applying for a physical damage
appraisers license shall pay an application fee of fifty dollars
($50.00) to and for the use of the
state. The commissioner may prescribe reasonable
regulations concerning standards for
qualifications, suspension, or revocation, and the methods with
which licensees conduct their
business, in addition to the requirements specifically
delineated within this chapter. The
commissioner shall submit an annual report on his or her findings
and recommendations to the
governor and the general assembly on January 30 of each year.
(b) Any person who
violates any provision of this chapter shall be fined not more than
five hundred dollars ($500) or imprisoned not more than
one year, or both.
(c) The insurance
commissioner shall promulgate rules and regulations mandating the
term of license for each category of license issued
pursuant to this chapter; and no license shall
remain in force for a period in excess of four (4) years.
(d) Any mandated
license fee shall be determined by multiplying the number of years of
the license by the fee described in subsection (a). A
license shall be renewed upon the payment of
the appropriate renewal fee. The fee for the total term
of the licensure or renewal shall be paid at
the time of initial application or renewal.
(e) Nothing in this
section shall be construed to limit the authority of the insurance
commissioner to sooner suspend or revoke any license issued
pursuant to this chapter. Any action
for suspension or revocation of any license shall be in
accordance with Administrative Procedures
Act, chapter 35 of title 42, upon proof that the
license was obtained by fraud or misrepresentation,
or that the interests of the insurer or the interests of
the public are not properly served under the
license, or for cause.
SECTION 8. Section 27-3.2-9 of the General Laws in Chapter
27-3.2 entitled
"Continuing Education
Requirements" is hereby amended to read as follows:
27-3.2-9.
Fees. -- (a) Notwithstanding
any provision of the general laws to the contrary,
there is established a fee of fifteen dollars ($15.00) per
annum for the period commencing July 1,
2002, and ending on June 30, 2003, which shall be paid
by all persons licensed pursuant to
chapter 2.4 of this title, and shall be deposited as general
revenues.
(b) Notwithstanding any
provision of the general laws to the contrary, for the period
commencing July 1, 2003, the fee shall be five dollars ($5.00)
per annum, which shall be paid by
all persons licensed pursuant to chapter 2.4 of this
title, and shall be deposited as general
revenues.
(c) The fee for
approval of a course or program to qualify as a course of continuing
education shall be sixty dollars ($60), which shall be paid at
the time of application and shall be
deposited as general revenues.
SECTION 9. Section 23-26-12 and 23-26-31 of the General Laws
in Chapter 23-26
entitled "Bedding and Upholstered Furniture" are
hereby amended to read as follows:
23-26-12.
Sterilization permits. -- Any sterilization process, before being used
in
connection with this chapter, must receive the approval of the
director. Every person, firm, or
corporation desiring to operate the sterilization process shall
first obtain a numbered permit from
the director and shall not operate the process unless the
permit is kept conspicuously posted in the
establishment. Fee for original permit shall be seventy dollars
($70.00) eighty-four dollars ($84).
Application for the permit shall be accompanied by
specifications in duplicate, in such form as
the director shall require. Each permit shall expire one
year from date of issue. Fee for annual
renewal of a sterilizing permit shall be one-half (1/2) the
original fee.
23-26-31.
Fees. -- (a) The per
annum fees imposed for licenses issued pursuant to section
23-26-30 shall be as follows:
(1) Every applicant
classified as a manufacturer of articles of bedding for sale at
wholesale or retail or as a supply dealer shall pay, prior to
the issuance of a general license, a per
annum fee of one hundred and seventy-five dollars
($175), two hundred ten dollars ($210) and
the licensee may be engaged in any or all of the
following:
(i)
Manufacture of articles of bedding for sale at wholesale;
(ii) Manufacture of
articles of bedding for sale at retail;
(iii) Supply dealer;
(iv)
Repairer-renovator.
(2) Every applicant
classified as a repairer-renovator or retailer of second-hand articles of
bedding shall pay, prior to the issuance of a limited
license, a per annum fee of fifty dollars
($50.00) sixty
dollars ($60), and the licensee may be engaged in any or all of the
following:
(i)
Repairer-renovator;
(ii) Retailer of
second-hand articles of bedding; provided, however, that if a license is
reclassified from one category to another which calls for a higher
license fee, he or she shall pay a
pro rate share of the higher license fee for the unexpired period and shall be issued a new license
to expire on the expiration date of the original
license.
(b) If, through error, a
licensee has been improperly classified as of the date of issue of
his or her current license, the proper fee for the entire
period shall be payable. Any overpayment
shall be refunded to the licensee. No refunds shall be
allowed to any licensee who has
discontinued business, or whose license has been revoked or
suspended or who has been
reclassified to a category calling for a greater or lesser license
fee, except as provided herein. The
fee shall be paid to the director of business regulation.
For reissuing a revoked or expired license
the fee shall be the same as for an original license.
(c) All payments for
registration fees, sterilization process, permits, fines and penalties,
and other money received under this chapter shall
constitute inspection fees for the purpose of
enforcing this chapter.
SECTION 10. Sections 5-8-15 and 5-8-24 of the General Laws
in Chapter 5-8 entitled
"Engineers" are
hereby amended to read as follows:
5-8-15.
Expiration and renewal of certificates of registration. --
(a) 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 mailed to the
registrant at his or her last known
address at least one month in advance of the date of the
expiration of the certificate.
(b) Renewal may be
effected at any time 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 twenty-five dollars
($125) one
hundred fifty dollars ($150), but not to exceed one hundred fifty
dollars ($150) one
hundred eighty dollars ($180). Renewal of an expired certificate may be effected 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 fifty dollars ($150) 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.
5-8-24. Sole
proprietorship, partnership, limited liability partnership, corporate and
limited liability company. -- (a) The practice or offer to
practice engineering as defined by this
chapter by a sole proprietorship, partnership, limited
liability partnership, corporation or a 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.
(b) (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 upon satisfaction of the provisions of this
chapter and the payment of a fee
not to exceed one hundred twenty-five dollars ($125)
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 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.
SECTION 11. Sections 5-8.1-11 and 5-8.1-13 of the General
Laws in Chapter 5-8.1
entitled "Land Surveyors" are hereby amended to read
as follows:
5-8.1-11. Board of
registration for professional land surveyors -- Fees -- Payment
and disposition. -- (a) The fees paid by an applicant for filing
an application for examination, for
renewal, or for issuance of a duplicate certificate shall be
determined by the board and shall not
exceed one hundred fifty dollars ($150) one
hundred eighty dollars ($180) per year plus any
administrative costs associated with an application for examination,
reexamination, annual
renewal, or duplicate certificate. The administrative costs
shall be determined by the board. All
revenues received pursuant to this section shall be deposited
as general revenues.
(b) 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.
5-8.1-13. Board of
registration for professional land surveyors -- Permitted
practices. -- (a) 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
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
section 5-8.1-11.
(3) Other professions.
- The practice of engineering, architecture, or landscape
architecture.
(b) 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 fifty
dollars ($50.00) 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 section 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.
(10) Effective one year
from July 1, 1990, the secretary of state shall not issue a
certificate of incorporation or certificate of organization or
certificate of registration to any
applicant, or a registration as a foreign corporation, limited
liability partnership or limited liability
company, to any firm, which includes among the objectives for
which it is being established any
of the words "surveyor", "surveying"
or any modification or derivation of those words, unless the
board of land surveyors 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 or registration as a
foreign corporation, limited liability partnership or limited
liability company.
(c) 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.
(d) 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.
SECTION 12. Section 5-1-11 of the General Laws in Chapter
5-1 entitled "Architects" is
hereby amended to read as follows:
5-1-11.
Fees -- Payment and disposition. -- (a) The fees paid by an applicant for filing
an application for examination, for the examination, for
re-examination, for registration pursuant
to section 5-1-9, for annual renewal, for renewal of an
expired certificate, or for issuance of a
duplicate certificate of registration shall be in accordance
with section 12, entitled "Fees", of the
bylaws of the board, as amended sixty dollars ($60).
(b) 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.
(c) 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 in
accordance with section 12, entitled "Fees", of
the bylaws of the board, as amended sixty dollars ($60).
SECTION 13. Section 5-51-14 of the General Laws in Chapter
5-51 entitled "Rhode
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 twenty-five dollars ($125) 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 twenty-five dollars ($125) 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 section 5-51-7, shall not
exceed one hundred fifty dollars ($150) 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 dollars ($30.00)
thirty-six dollars ($36).
(6) The fee to be paid
for a duplicate certificate is thirty dollars ($30.00) thirty-six
dollars ($36).
(7) The initial fee for
a certificate of authorization shall not exceed one hundred twenty-
five dollars ($125)
one hundred fifty dollars ($150).
(8) The annual renewal
fee for a certificate of authorization is fifty dollars ($50.00) sixty
dollars ($60).
(9) The fee to be paid
for the reinstatement of an expired certificate of authorization is
fifty dollars ($50.00) sixty dollars ($60) for every year or portion of a year the
applicant has been
delinquent, plus a penalty of twenty-five dollars ($25.00).
(10) All fees received
by the board shall be deposited as general revenues.
SECTION 14. This article shall take effect upon passage.