Official State of Rhode Island website

State of Rhode Island Contractors' Registration and Licensing Board State Building Office

Disciplinary Proceedings

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The Board’s Power to Assess Violations, and Discipline Registered Contractors

The Contractors’ Registration & Licensing Board (“CRLB”) is the authority that licenses, regulates and enforces Chapter 5-65 of R.I. General Laws (the “CRLB Act”). This authority includes the power to issue a Notice of Violation and Penalties to a contractor who violates the CRLB Act. The Board may issue a Notice of Violation and Penalties after an investigation has confirmed a contractor violated the CRLB Act. The Board may investigate consumer complaints as well as the activities of any person(s) engaged in the building and construction industry to confirm compliance with the CRLB Act. If a contractor submits a timely written Request for NOV Hearing (must be submitted in writing to the CRLB within 20 days of the mailing of the notice of violations and assessment of penalties) contesting a CRLB Notice of Violation and Penalties, a Hearing Officer is assigned to conduct a hearing and issue a written decision in accordance with the CRLB Act and Chapter 42-35 of R.I. General Laws, the Administrative Procedures Act (“APA”). For more information, see the link to Request for Notice of Violations Hearing Before Hearing Office.

Appealing a Violation to the Board’s Hearing Officer

Once a contractor filed a timely appeal in response to the Notice of Violation and Penalties, the CRLB staff sends the contractor a Notice of Hearing, which appoints the Hearing Officer, provides details regarding the asserted violations, applicable laws and requested penalties, and sets the date/time and location for a Pre-Hearing Conference. At the Pre-Hearing Conference, the Hearing Officer consults with the parties, confirms the issues and discovery deadlines, and schedules the Hearing. The contractor is responsible to attend the Pre-Hearing Conference as well as the Hearing. CRLB staff, including CRLB’s legal counsel, also attend both the Pre-Hearing Conference and the Hearing. While a contractor has the right to appear before the Hearing Officer

pro se on their own behalf, because it is a legal proceeding and all parties are held to the same standards including evidentiary standards, the contractor should seriously consider retaining legal representation to advise and attend the Pre-Hearing Conference and the Hearing with the contractor. If a contractor fails to attend the Hearing, the Hearing Officer may proceed and enter a Default Decision against the contractor.

At the Hearing before the Hearing Officer, the CRLB legal counsel and the contractor’s legal counsel (or the contractor themselves, if they have decided to appear pro se on their own behalf without legal counsel) are responsible to present witness testimony, documentary and other evidence and present their arguments regarding the asserted violations and proposed penalties. After the Hearing, the Hearing Officer prepares and issues a written Decision. The Decision will include the Hearing Officer’s findings of fact and conclusions of law and, if violations are found, an order imposing sanctions and penalties.

Appealing the Hearing Officer’s Decision to the Full Board

A contractor has the right to appeal the Hearing Officer’s Decision to the full CRLB Board, provided the contractor must submit a Request for Board Appeal, in writing, within 20 days from date of mailing or issuance of the Hearing Officer’s Decision. For more information, see the link to Request for Board Appeal Form. If a contractor submits a timely and complete written Request for Board Appeal, the CRLB will send a Notice of Appeal to the contractor, which includes a copy of the case record and the deadline for the contractor and the CRLB legal counsel to submit their written Appeal Memorandum. The contractor’s legal counsel (or the pro se contractor, if they have decided to appear on their own behalf without legal counsel) and the CRLB legal counsel will be responsible to timely submit their written Appeal Memorandum to the Board. As with the decision to retain legal counsel, because the appeal is a legal proceeding and both parties are held to the same appellate standards, it is important for the contractor to timely submit an Appeal Memorandum to the Board.

After the contractor’s and the CRLB legal counsel’s Appeal Memoranda have been received, the CRLB will send out a Notice of Board Appeal Hearing - Date/Time/Location. The contractor’s legal counsel (or the pro se contractor, if they have decided to appear on their own behalf without legal counsel) and the CRLB legal counsel will be responsible to appear for the hearing and present to the Board at the designated date/time. If a contractor fails to attend the Board Appeal Hearing, the Board may proceed and enter a Default Decision affirming the Hearing Officer’s Decision.

Standard of Review When Appealing to the Board

An appeal before the full Board is conducted based upon the Case Record pursuant to § 5-65-20, 440-RICR-10-00-1.13.2 and the APA. The Board will not substitute its judgment for that of the Hearing Officer as to the weight of the evidence on questions of fact. This means that the contractor/contractor’s legal counsel and the CRLB legal counsel will not be entitled to present, and the Board will not consider, any testimony, documentary or other evidence that was not previously submitted to the Hearing Officer. The Board’s review is limited to, and its Appeal Decision must be based upon the: Request for Board Appeal, Notice of Hearing and Case Record, Appeal Memoranda and the parties’ arguments at the Appeal Hearing. In its Decision, the Board will determine if the Hearing Officer’s decision is supported by substantial evidence in the record and/or whether the decision was arbitrary or capricious or affected by other error of law. Using this Standard of Review, the Board Decision will either affirm, dismiss or modify the Hearing Officer’s Decision, or remand the case to the Hearing Officer for further proceedings, if applicable.

Appealing the Board’s Decision to Rhode Island Superior Court

A contractor has the right to appeal the Board’s Decision to the Rhode Island Superior Court sitting in and for the County of Providence, provided the contractor must file a Petition for Review with the Superior Court within 30 days from date of mailing of the Board’s Decision. See https://www.courts.ri.gov/Courts/superiorcourt/Pages/default.aspx for information on the court’s rules, processes, procedures and contact information.