250-RICR-90-00-7
250-RICR-90-00-7. Dealers (version Technical Revision, 12/02/2013 to 04/20/2016)
STATE OF RHODE ISLAND AND PROVIDENCE PLANTATIONS
DEPARTMENT OF ENVIRONMENTAL MANAGEMENT
BUREAU OF NATURAL RESOURCES
FISH AND WILDLIFE
&
LAW ENFORCEMENT
RHODE ISLAND MARINE FISHERIES
STATUTES AND REGULATIONS
Part XIX
FISH/SHELLFISH DEALER REGULATIONS
December 19, 2013
AUTHORITY: Title 20, Chapters 42-17.1, 42-17.6, and 42-17.7, and in accordance with Chapter 42-35-
18(b)(5), Administrative Procedures Act of the Rhode Island General Laws of 1956, as amended.
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Part XIX – Fish/Shellfish Dealer Regulations
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STATE OF RHODE ISLAND AND PROVIDENCE PLANTATIONS
DEPARTMENT OF ENVIRONMENTAL MANAGEMENT
BUREAU OF NATURAL RESOURCES
FISH AND WILDLIFE
&
LAW ENFORCEMENT
RHODE ISLAND MARINE FISHERIES
STATUTES AND REGULATIONS
TABLE OF CONTENTS
RULE #1 PURPOSE................................................................................................... 3
RULE #2 AUTHORITY ............................................................................................... 3
RULE #3 ADMINISTRATIVE FINDINGS .................................................................... 3
RULE #4 APPLICATION ............................................................................................ 3
RULE #5 REGULATIONS ................................................................. Part XIX, p 4 - 12
RULE #6 SEVERABILITY ........................................................................................... 3
RULE #7 SUPERSEDED RULES AND REGULATIONS ........................................... 3
RULE #8 EFFECTIVE DATE PAGE ......................................................................... 13
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Part XIX – Fish/Shellfish Dealer Regulations
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STATE OF RHODE ISLAND AND PROVIDENCE PLANTATIONS
DEPARTMENT OF ENVIRONMENTAL MANAGEMENT
BUREAU OF NATURAL RESOURCES
FISH AND WILDLIFE
&
LAW ENFORCEMENT
RHODE ISLAND MARINE FISHERIES
STATUTES AND REGULATIONS
PURPOSE
The purpose of these regulations is to prescribe the proper conduct of licensed
shellfish dealers for the purpose of protecting the public health, safety and welfare.
AUTHORITY
These rules and regulations are promulgated pursuant to Title 20, Chapters 42-17.1,
42-17.6, and 42-17.7, and in accordance with Chapter 42-35-18(b)(5), Administrative
Procedures Act of the Rhode Island General Laws of 1956, as amended.
ADMINISTRATIVE FINDINGS
Rules and regulations are based upon the need to modify existing regulations in
accordance with Chapter 42-35, Administrative Procedures Act of the Rhode Island
General Laws of 1956, as amended.
APPLICATION
The terms and provisions of these rules and regulations shall be liberally construed
to permit the Department to effectuate the purposes of state law, goals, and policies.
DEFINITIONS
See Rhode Island Marine Statutes and Regulations, Part I, '1.3.
SEVERABILITY
If any provision of these Rules and Regulations, or the application thereof to any
person or circumstances, is held invalid by a court of competent jurisdiction, the
validity of the remainder of the Rules and Regulations shall not be affected thereby.
SUPERSEDED RULES AND REGULATIONS
On the effective date of these rules and regulations, all previous rules and
regulations, and any policies regarding the administration and enforcement of Part
XIX shall be superseded. However, any enforcement action taken by, or application
submitted to, the Department prior to the effective date of these Rules and
Regulations shall be governed by the Rules and Regulations in effect at the time the
enforcement action was taken, or application filed.
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R.I. Marine Fisheries Statutes and Regulations
PART XIX – FISH/SHELLFISH DEALER REGULATIONS
19.1 Licensed Shellfish Dealers
19.1.1 An applicant for a shellfish dealer’s license shall complete such
forms containing such information as DEM may require
19.1.2 Each licensed shellfish dealer shall maintain a place of business or
an agent at which transaction records are maintained and available during
normal business hours. Further, each licensed dealer must have a DOH
shellfish license pursuant to RIGL Chapter 21-14.
RIMF REGULATION
19.2 Bartering and Trading in Shellfish
19.2.1 No person, partnership, firm, association, or corporation shall sell,
purchase, barter, or trade shellfish in Rhode Island unless such person,
partnership, firm, association, or corporation is properly licensed, or
exempt from such licensing requirements, as set forth below.
19.2.1-1 No person, partnership, firm, association, or corporation
shall barter or trade in shellfish in Rhode Island unless such person,
partnership, firm, association, or corporation first obtains from the
Department of Environmental Management a shellfish dealer’s
license or multipurpose dealer's license.
19.2.1-2 Licensed shellfish dealers may only purchase, barter, or
trade shellfish (wild or cultured) (i) harvested from or cultured in
Rhode Island waters from licensed shellfishermen, licensed
aquaculturists, or other licensed shellfish dealers; or (ii) taken from
other than Rhode Island waters from a dealer whose shellfish
business appears on the US Public Health Service, Food and Drug
Administration list of certified shippers, and tagged in accordance
with Rhode Island DOH regulations.
19.2.1-3 Licensed shellfish dealers may not purchase or accept any
shellfish (wild or cultured) from a shellfisherman or aquaculturist
without first being presented with a valid shellfish or multipurpose
license issued by DEM to said shellfisherman or aquaculturist.
19.2.1-4 Any person, partnership, firm, association, or corporation
engaged solely in the business of selling seafood, including shellfish
(wild or cultured), to consumers, either directly or through
restaurants or other retail outlets, and/or engaged solely in the
processing or preparation of seafood, including shellfish (wild or
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cultured), for sale directly to consumers, is not required to be
licensed under these regulations, provided that such person,
partnership, firm, association, or corporation purchases or otherwise
acquires said shellfish from licensed shellfish dealers.
19.2.1-5 Shellfish harvested from or cultured in Rhode Island waters
may only be sold to out-of-state buyers by licensed shellfish dealers
whose businesses appear on the US Public Health Service, Food and
Drug Administration list of certified shippers. Said dealers must also
comply with all applicable DEM and DOH rules governing the
handling, tagging and sale of shellfish, as well as all applicable state
and federal rules governing the interstate shipment of shellfish.
19.2.1-6 Shellfish harvested from or cultured in other than Rhode
Island waters may only be sold to buyers in or from Rhode Island by
out-of-state sellers whose businesses appear on the US Public
Health Service, Food and Drug Administration list of certified
shippers; and said transactions must comply with all applicable state
and federal rules governing the interstate shipment of shellfish.
19.2.2 Licensed shellfish dealers may not purchase or accept any shellfish
from shellfishermen or aquaculturists unless such shellfish are bagged
and tagged in accordance with the applicable Aquaculture and Shellfish
Harvesting Regulations. Shellfish must be received in containers with a
harvester tag attached to each container. The harvester tag shall be
durable, waterproof and sanctioned by DOH. The tag shall contain the
following indelible, legible information in order specified below:
harvester’s identification number as assigned by DEM.;
date of harvest;
harvest location as identified on the R.I. Shellfish Harvest Area
tagging map, shellfish management area or aquaculture lease site
identified by the CRMC Assent number;
type (species) of shellfish;
approximate quantity of shellfish; and
the following statement in bold capitalized type: “THIS TAG IS
REQUIRED TO BE ATTACHED UNTIL CONTAINER IS EMPTY OR
IS RETAGGED AND THEREAFTER KEPT ON FILE FOR 90 DAYS”
19.2.3 The tag shall serve as prima facie evidence of the identity of the
shellfish.
19.2.4 Dealers must comply with the reporting requirements as set forth in
section 19.14 of the RI Marine Fisheries Regulations
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19.2.5 Dealers must comply with the reporting requirements as set forth in
section 19.14 of the RI Marine Fisheries Regulations
19.2.6 Dealers must comply with the reporting requirements as set forth in
section 19.14 of the RI Marine Fisheries Regulations
RIMF REGULATION
19.3 Undersize Shellfish Provisions
19.3.1 At no time shall a dealer possess undersize wild stock shellfish. A
dealer may possess undersize cultured shellfish crops, excluding
quahaugs (Mercenaria mercenaria), provided the dealer has obtained said
cultured crops from a licensed aquaculturist or dealer.
19.3.2 Any shellfish possessed by a dealer that measures less than the
State minimum size for wild stock must be properly identified as cultured
product with appropriate tagging as required by the Director. Each dealer
shall maintain complete, accurate and legible records sufficient to: (i)
document the source of shellfish, and (ii) permit the contents of the
container of shellfish to be traced back to the aquaculture lease site and
date of harvest. In addition, all purchases and sales shall be recorded in a
permanently bound ledger book or other approved recording method
authorized by DEM and DOH.
19.3.3 Cultured shellfish crops may not be commingled with any wild stock
shellfish or other cultured shellfish crops from a different harvest date or
location.
RIMF REGULATION
19.4 Dealer Reporting of Landings -- Dealers must comply with the reporting
requirements as set forth in section 19.14 of the RI Marine Fisheries Regulations
RIMF REGULATION
19.5 Wet Storage of Shellfish
19.5.1 For purposes of open water wet storage, the licensed dealer shall
apply to the CRMC for an assent for an initial wet storage site or
modification to an existing aquaculture facility or lease. A CRMC assent
shall be required for a wet storage facility located within the CRMC’s
jurisdiction, as specified in CRMC Management Procedures, Section 4-1.
19.5.2 If the open water wet storage is conducted as part of an aquaculture
operation, the licensed dealer shall apply to DEM for a DEM Aquaculture
Permit; if the permit is issued, it should appropriately address the
possession of shellfish held for wet storage.
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19.5.3 Molluscan shellfish to be wet stored must be harvested from or
cultured in approved shellfish growing areas or conditionally approved
areas when open.
19.5.4 All facility designs, structures and methods used for wet storage of
molluscan shellfish must be approved by DOH pursuant to the National
Shellfish Sanitation Program (NSSP) standards. The CRMC shall determine
the structural suitability of any apparatus used for in-water storage of
molluscan shellfish.
19.5.5 The CRMC shall be responsible for the approval of the location of all
open water storage facilities. When a wet storage facility is operated in
conjunction with an aquaculture operation, the wet stored products shall
be maintained separately from the cultured products designated by CRMC
and the approved Operational Plan.
19.5.6 Containers used in wet storage of molluscan shellfish shall be
approved by DOH and shall be marked appropriately (indicating that they
contain either wet stored wild or cultured stock).
19.5.7 The shellfish dealer shall maintain accurate and complete records of
all wet storage activities including, but not limited to, the source of the
molluscan shellfish, the amounts stored, and the times/dates of
storage/disposition of the molluscan shellfish. Such records shall be
maintained for a minimum of two years and shall be available for
inspection by DOH and DEM upon request.
19.5.8 The shellfish dealer shall submit an operational plan specifying how
the wet storage of molluscan shellfish will be carried out. Such an
operational plan is subject to approval by DOH and DEM prior to approval
of the wet storage facility.
19.5.9 The molluscan shellfish that are in wet storage shall be tagged in
accordance with Rule 7.2, herein.
19.5.10 Permitted, open-water wet storage facilities shall only store wild or
cultured molluscan shellfish that have been harvested from or cultured in
the same waterway in which the wet storage facility is located. In all other
cases, shellfish must be wet stored in an approved closed tank system.
19.5.11 A permitted wet storage facility shall only store legal sized
molluscan shellfish, which have been harvested as specified in the
approved Operational Plan.
19.5.12 Each wet storage facility shall be evaluated and approved annually
by DOH. Since water quality and water quality classification of waters
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within the state are subject to change due to environmental conditions,
shellfish dealers conducting wet storage of molluscan shellfish shall be
required to respond to these changes. Wet storage of shellfish in waters
other than those in the approved classification or in the open status of the
conditional approved classification is prohibited. The CRMC, DEM and
DOH shall not assume any liability for any environmental changes nor
liability for potential damages incurred by shellfish dealers.
19.5.13 The DEM Director shall determine the compatibility of any wet
storage facility with the resources in surrounding areas and shall be
satisfied that every practical precaution is in place to prevent the spread of
shellfish disease and pathogens. The DEM Director shall have the authority
to limit or restrict the wet storage and transplant activities in areas within
waterways that are considered to be at risk for the transmission of shellfish
diseases, or grant an exception if justified, after careful consideration of
disease monitoring studies.
19.5.14 No person shall engage in wet storage of molluscan shellfish
without first obtaining a dealer's license from DOH and DEM.
RIMF REGULATION
19.6 Handling of Shellfish
19.6.1 Rhode Island licensed shellfish dealers are prohibited from mixing or
commingling shellfish taken from Rhode Island waters with shellfish taken
from other state’s waters.
19.6.2 Shellfish dealers shall properly tag each bag or container of shellfish
as follows:
19.6.2-1 The dealer shall keep the harvester's tag affixed to each
container of shellfish until the container is (i) shipped, or (ii) emptied
to wash, grade, or pack the shellfish.
19.6.2-2 The dealer shall affix his/her dealer's tag to each container
of shellfish prior to shipment, and immediately after shellfish
emptied from a tagged container have been washed, graded, or
packed.
19.6.2-3 When the dealer is also a licensed aquaculturist and he/she
elects not to use a harvester's tag, he/she shall affix his/her dealer's
tag to each container of shellfish prior to leaving the aquaculture
site, removing the shellfish from a vessel, or offering the shellfish for
sale.
19.6.2-4 The dealer's tag shall be (i) durable, waterproof and
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sanctioned by DOH prior to use, and (ii) at least 2 5/8 inches by 5 1/4
inches (6.7 x 13.3 cm) in size.
19.6.2-5 The dealer’s tag shall contain the following indelible, legible
information in the order specified below:
the dealer’s name and address;
the dealer’s certification number as assigned by DOH and
the original shellfish shipper’s certification number;
the date of harvest;
the most precise identification of the harvest location as is
practicable including the initials of the state of harvest, and
the DOH/DEM designation of the growing area by indexing,
administrative or geographic designation;
when the shellfish has been placed in wet storage in a
dealer’s operation, the statement:
“THIS PRODUCT IS A PRODUCT OF (NAME OF STATE)
AND WAS WET STORED AT (FACILITY CERTIFICATION
NUMBER) FROM (DATE) TO (DATE)”;
the type and quantity of shellfish; and
the following statement in bold capitalized type on each
tag:
“THIS TAG IS REQUIRED TO BE ATTACHED UNTIL
CONTAINER IS EMPTY OR IS RETAGGED AND
THEREAFTER KEPT ON FILE FOR 90 DAYS.”
19.6.3 Shellfish purchased or acquired by a Rhode Island licensed shellfish
dealer may be separately sorted by type, size, or other basis. The original
containers with tags must be kept in close proximity while sorting, grading
and processing is taking place.
19.6.4 Shell stock shall be washed reasonably free of bottom sediments as
soon after harvesting as possible. The harvester shall be primarily
responsible for washing shell stock. If shell stock washing is not feasible at
the time of harvest, the dealer shall assume this responsibility. Water used
for washing shall be from a potable water source, or growing area in the
approved classification or open status of the conditionally approved
classification.
(RIMF REGULATION)
19.7 False Statements -- No licensed shellfisherman, aquaculturist or licensed
shellfish dealer, or his/her agent shall make any false statement,
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misrepresentation or alteration of any statement on the forms required by these
rules. (RIMF REGULATION)
19.8 Inspection of Shellfish Dealers Business -- The Director or his/her agents
may enter and inspect the business premises, wet storage facilities,
appurtenance structures, or vehicles and vessels of a shellfish dealer to
determine compliance with the provisions of RIGL Section 20-6-24, these rules, or
any order issued by the Director, and no person shall interfere with such entrance
and inspection. (RIMF REGULATION)
19.9 Denial, Suspension or Revocation of License
19.9.1 In addition to other penalties provided by law or other rule or
regulation, any licensed shellfish dealer who violates the provisions of
RIGL Section 20-6-24, these rules, or any order issued by the Director shall
be subject to suspension, revocation or denial of his/her license in
accordance with RIGL Sections 20-2-13 and 42-17.1-2(s).
19.9.2 The Director may deny renewal of shellfish dealer’s license for
violation of the provisions of RIGL Section 20-6-24, these rules, or any
order issued by the Director during a prior license period.
19.9.3 The Director may suspend, revoke or deny issuance of a shellfish
dealer’s license where a) the license holder or applicant is involved in the
management of a shellfish dealer business for which DEM has suspended,
revoked or denied a license on account of noncompliance with these
regulations, or b) the business of the license holder or applicant is owned,
managed or operated, in whole or in part, by a person, firm, association or
corporation whose shellfish dealer's license has been suspended, revoked
or denied on account of noncompliance with these regulations.
(RIMF REGULATION)
19.10 Penalties --The following penalties shall apply to violations of these
regulations:
forfeiture of the shellfish;
administrative action, which may result in suspension and/or
revocation of applicable licenses or permits and/or imposition of
additional penalties;
criminal prosecution pursuant to RIGL Section 20-1-16, which
imposes a maximum fine of $500, 90 days imprisonment, or both.
(RIMF REGULATION)
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19.11 Other Requirements -- Persons subject to these rules are also responsible
for complying with other applicable state, local and federal laws, including DOH
laws and regulations relating to shellfish businesses.
(RIMF REGULATION)
19.12 Exemption -- These rules shall not apply to persons buying surf clams
(Spisula oliddisma) or ocean quahaugs (Arctica islandica) for use as bait and not
for human consumption. However, any other rule or law governing these species
shall remain in effect and not be superceded by this exemption.
(RIMF REGULATION)
19.13 Severability -- If a court of competent jurisdiction holds any section or
provision of these rules and regulations invalid, the remaining sections of
provisions of these rules and regulations shall not be affected thereby.
(RIMF REGULATION)
19.14 Dealer Electronic Reporting Requirements
19.14.1 Control Date – the date for compliance with section 19.14 as set
forth below for all RI licensed seafood dealers will be March 1, 2006
19.14.2 General Requirements
A. All RI licensed seafood dealers will be required to obtain and
utilize a personal computer in working condition which is capable of
submitting an electronic report to the Standard Atlantic Fisheries
Information System (SAFIS)
B. In cases where a seafood dealer falls under the jurisdiction of
both the state of RI and the federal government (NMFS) said dealer
must comply with the more frequent of the minimum reporting
schedules or the more detailed data requirement
19.14.3 Reporting Frequency and Required Data Elements
A. Trip Level Data for all species harvested required on a bi-weekly
basis, to be reported on Monday and Thursday of each week, will
consist of the following elements:
1. Species common name including market level and grade
2. Amount landed or purchased including the units the product was
measured in (i.e. pounds)
3. Area where product was taken (only applicable to shellfish
purchases)
4. Date the product was landed or purchased
5. RI Commercial license or landing permit number of the fisherman
selling the product to the dealer
6. Vessel identification number (Coast Guard documentation number
and/or state of RI registration number)
7. Port or location where the catch was landed or purchased
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8. When a seafood dealer is purchasing research set aside from a
permitted and properly licensed fisherman, the poundage purchased
will be designated as either “RSA – Food,” “RSA – Bait,” or “RSA -
Research” in the SAFIS field titled “Disposition”.
B. Trip Level Data for all species harvested required, to be reported
within 30 days of the landing or purchase date. Such data shall
consist of the following elements:
1. Price at which the product was purchased
2. Disposition (what the product was used for, i.e. bait, consumer
consumption, etc)
19.14.4 Negative reports
A. RI licensed seafood dealers will be required to submit a negative
report to SAFIS for each reporting period during which no finfish,
shellfish, crustacean, or any other seafood product was landed or
purchased
B. Dealers may file negative reports for a maximum of three (3)
months in advance
19.14.5 Penalty - In addition to the penalty described in RIGL 20-1-16, the
license of any person who violates any of the terms of 19.14 shall have
their commercial seafood dealers license suspended by the Director for a
period of 30 days for a first offence, 90 days for a second offence, and 365
days for a third offence, and revocation for a fourth offense.
19.15 Importation of non-indigenous (non-native) Marine Species – No licensed
fish/shellfish dealer shall import, attempt to import, or possess in the cooked or
un-cooked (frozen) state any non-indigenous (non-native) Horseshoe Crab
species within the State of Rhode Island without prior, written authorization by
the Department. The only species of Horseshoe Crab which may be possessed
within the jurisdictional limits of the State of Rhode Island is the Atlantic
Horseshoe Crab Limulus polyphemus.
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Rule 8. EFFECTIVE DATE
The foregoing rules and regulations Rhode Island Marine Statutes and Regulations,
after due notice, are hereby adopted and filed with the Secretary of State this 19th day of
December, 2013 to become effective 20 days from filing, unless otherwise indicated,
pursuant to Title 20, Chapters 42-17.1, 42-17.6, and 42-17.7, and in accordance with
Chapter 42-35-18(b)(5), Administrative Procedures Act of the Rhode Island General
Laws of 1956, as amended.
_____________________________________
Janet L. Coit, Director,
Department of Environmental Management
Notice Given:
N/A
Public Hearing:
N/A
Filing date:
12/19/2013
Effective date:
12/02/2013
ERLID # 7630
Technical Revision