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

Island Uniform Securities Act" is hereby amended to read as follows:

 

     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 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 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 United States for the purpose of exchanging complaint and investigative

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 Rhode Island to transact insurance business must upon filing of an application

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 Rhode Island and whose application is currently pending must also submit a

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 Rhode Island resident business entity acting as an insurance adjuster may elect to

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 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

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

Island State Board of Examiners of Landscape Architects" is hereby amended to read as follows:

 

     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.