440 R.I. Code R. 440-RICR-10-00-1.9

Current through December 3, 2024

Section 440-RICR-10-00-1.9 - Complaints

1.9.1Duty to Participate

All persons who are registered/licensed, or who are required to be registered/licensed, shall participate and make good faith efforts to resolve all complaints, violations, and/or contested cases within the jurisdiction of the Board. Failure to do so shall result in the Board taking action against the respondent, to the extent allowable by law, including suspension or revocation of a contractor's registration/license, without which an individual cannot work as a contractor in the state.

1.9.2Complaints Generally

A. Complaints shall only be accepted for work or services performed within the boundaries of the State of Rhode Island, or for materials or equipment supplied or rented for fabrication into or use upon structures located within the boundaries of the State of Rhode Island. Unless otherwise specified, the Board shall only accept complaints from complainants who can demonstrate standing to bring the complaint.

B. A complaint may be made by any Person against any registrant/licensee or any Person who is required to be registered/licensed but is not registered/licensed by the Board. Such statement of complaint shall be in writing, signed by the complainant, and made on a form as required by the Board.

C. A complaint may contain an allegation of a claim and/or violations.

D. When submitting a complaint, complainants are encouraged to provide copies of all supporting documentation, including but not limited to:

1. Written contracts and agreements;

2. Invoices;

3. Billings;

4. Estimates;

5. Receipts;

6. Cancelled checks;

7. Court or arbitration information/judgments; and

8. Notices of counter claims by respondents.

D. Initial Acceptance or Denial of Complaint. The Board shall make an initial determination as to whether the complaint is within the Board's jurisdiction and meets the requirements of R.I. Gen. Laws Chapter 5-65. If jurisdiction exists and the requirements for acceptance are met, the Board shall process the complaint. If jurisdiction does not exist, and/or the requirements for acceptance are not met, the Board shall deny the complaint.

E. Complaints Based on Valid Contract Containing an Arbitration Clause

1. A complaint for work performed pursuant to a valid contract which contains a requirement that the parties resolve their dispute through an arbitration process, shall not be accepted by the Board, unless both parties, within forty-five (45) days of the filing of the complaint, agree in writing to waive the arbitration clause and consent to the jurisdiction of the Board for resolution of the dispute.

2. If the dispute is resolved through arbitration, the decision may be submitted to the Board for consideration of whether the decision establishes the basis for disciplinary action against the registration/license of the contractor, not inconsistent with any applicable general laws and/or this Subchapter.

F. Limitations on Complaint Process

1. If the investigation determines that the potential monetary damages and/or restitution exceeds ten-thousand dollars ($10,000), in accordance with R.I. Gen. Laws § 5-65-12(b), the Board may refuse to continue processing the claim and refer the complainant to Superior Court.

2. If the Hearing Officer determines that a violation of R.I. Gen. Laws Chapters 5-65, 5-65.1, 5-65.2, 5-65.3, 5-73, and/or Parts 1-6 of this Subchapter has occurred, the Hearing Officer may;

a. Order that a registrant/licensee complete any unfinished work;

b. Return a deposit if no work has commenced;

c. Issue fines;

d. Suspend or revoke a registration/license; and/or

e. Order the contractor to take additional educational classes if necessary.

3. A Hearing Officer cannot order the Respondent to pay monetary damages and/or restitution. However, the payment of monetary damages and/or restitution can be agreed to by the Parties as part of any settlement/agreement.

4. If applicable, a claim may be brought in the Superior Court, pursuant to R.I. Gen. Laws § 5-65-12.1.

1.9.3Board Initiated Investigations

A. The Board, on its own authority, may initiate an investigation and take action against:

1. A registrant/licensee;

2. An applicant for a registration/license or for renewal of a registration/license;

3. Any Person who is required to be registered/licensed but is not registered/licensed; and/or

4. Any Person who is subject to the regulatory authority of the Board.

B. All such actions shall be upon such terms and conditions as are permitted under applicable law and this Subchapter.

1.9.4The Board's Right to Refuse and/or Dismiss Complaints

A. The Board may, in its sole discretion, refuse to accept, or at any time refuse to continue processing a complaint if:

1. The complaint involves a contract that is administered, reviewed, and inspected by a local, state, or federal agency when disbursement or administration of the contract sum is contingent upon the approval of that agency;

2. The complainant fails to respond to the Board's written requests for information or documentation within a time period specified by the Board;

3. The complainant does not allow access to the property for investigation purposes;

4. The Board determines that based on the nature or complexity of the issues, the amount in controversy, and/or legal issues presented, a court of competent jurisdiction or an alternate forum is more suited to adjudicate the matter;

5. The same issues involved in the complaint have been submitted by either party to a court, arbitration, or other forum authorized by law to affect a resolution prior to the administrative hearing;

6. The facts and issues of the complaint are substantially the same as those in a complaint previously filed by the same complainant, unless the complaint concerns a repair previously ordered by the Board;

7. The Board determines that the person against whom the complaint is filed is capable of complying with the recommendations made by the Board relative to the claim, but the complainant does not permit the respondent to comply with those recommendations; or

8. The Board determines that the value of the damages due to the complainant is less than that owed to the respondent under the terms of the contract.

B. If at any time during the complaint process the complainant accepts a valid promissory note from the Registrant/Licensee as settlement of the claim, the Board shall dismiss the claim. Dismissal of the claim will be final, and the claim will not be reopened.

440 R.I. Code R. 440-RICR-10-00-1.9

Adopted effective 12/17/2019